LK
LK
Leonard Kaplan
39 Years of Experience
Pittsburgh, PA
2 DisclosuresBroker
Leonard Kaplan is a registered investment advisor at Morgan Stanley, based in Pittsburgh, PA, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
One PPG Place, Suite1300, Pittsburgh, PA, 15222
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008Settled
Customer Dispute
December 2003Denied
Employment History
Current Registrations
Morgan Stanley
July 2013 - Present · 12 yrs 10 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
September 2008 - June 2009 · 9 mos
UBS Financial Services INC.
February 1993 - September 2008 · 15 yrs 7 mos
UBS Financial Services INC.Broker
October 1989 - September 2008 · 18 yrs 11 mos
Shearson Lehman Hutton INC.Broker
April 1988 - October 1989 · 1 yr 6 mos
E. F. Hutton & Company INCBroker
October 1986 - April 1988 · 1 yr 6 mos
State Registrations35 states
AKARAZCACOCTDCDEFLGAIAIDILINLAMAMDMIMNMONCNHNJNMNVNYOHPASCTXUTVAWAWIWV
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.