Henry Kaplan is a registered investment advisor, based in New York, NY, with 37 years of industry experience.
Location
299 Park Ave., 21st Floor, New York, NY, 10171
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Henry is a limited partner and passive investor in Global Asset Backed Opportunities LP since 2014, dedicating minimal time. He is also a representative for B. Riley Wealth Insurance, selling fixed insurance products for a few hours per week.
Employment History
Current Registrations
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
Previous Registrations
National Securities CorporationBroker
Morgan Stanley Investment Management INC.
Morgan Stanley Distribution, INC.Broker
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
State Registrations3 states
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