Patricia Kaplan is a registered investment advisor, based in Grand Lake, CO, with 34 years of industry experience.
Location
Grand Lake, CO
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Regulatory History (1)
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Regulatory
December 1989Final
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2026 - Present · 4 mos
Raymond James Financial Services, INC.Broker
January 2026 - Present · 4 mos
Raymond James Financial Services, INC.
January 2026 - Present · 4 mos
Previous Registrations
Raymond James & Associates, INC.
October 2025 - December 2025 · 2 mos
Raymond James & Associates, INC.Broker
September 2025 - December 2025 · 3 mos
J.P. Morgan Securities LLCBroker
March 2017 - August 2025 · 8 yrs 5 mos
J.P. Morgan Securities LLC
March 2017 - August 2025 · 8 yrs 5 mos
First Financial Equity CorporationBroker
June 2015 - October 2016 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2007 - June 2015 · 7 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2005 - June 2015 · 9 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1990 - June 2001 · 10 yrs 9 mos
Broadway Financial Investment Services CORP.Broker
February 1989 - April 1989 · 2 mos
Glickenhaus & CO. - New JerseyBroker
December 1986 - February 1989 · 2 yrs 2 mos
Liss Tenner & Goldberg Securities CorporationBroker
January 1985 - December 1986 · 1 yr 11 mos
State Registrations1 state
CO
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.