Harley Kaplan
Harley Kaplan is a CFP-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Sanibel, FL, with 42 years of industry experience. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 323,031 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Cambridge Investment Research Advisors (CIRA) offers investment management services through several platforms. Fees are based on a percentage of your portfolio's value and are negotiable. The maximum annual fee is 2.25%. Fees can be structured as flat, tiered, or breakpoint. You may also encounter setup fees and service fees. Fees are typically deducted directly from your account. CIRA also offers WealthPort, a wrap fee program with inclusive fees. The WealthPort maximum advisory fee is 2.25% annually.
Location
Sanibel, FL
Get directionsHistory
Regulatory History (2)
Regulatory
December 2006Employment Separation After Allegations
October 2006Other Business ActivitiesSells Insurance
Harley is the owner of Beta Industries Inc. since 1989, dedicating full-time hours to trading. Harley also works as an insurance agent selling life and health insurance, spending a few hours per week, and has an IAR affiliation with CIRA, dedicating nearly full-time hours to trading.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research, INC.
Previous Registrations
Cantella & CO., INC.
Cantella & CO., INC.
Cantella & CO., INC.Broker
Brecek & Young Advisors, INC.Broker
Compass Capital Corporation
Compass Securities CorporationBroker
Cigna Securities, INC.Broker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.