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Stefan Kaplan

Cetera Investment Advisers LLC
33 Years of Experience
Melville, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Stefan Kaplan is a registered investment advisor at Cetera Investment Advisers LLC, based in Melville, NY, with 33 years of industry experience. Stefan is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

1895 Walt Whitman Rd Ste 6, Melville, NY, 11747

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History

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
August 2016
Denied
Customer Dispute
July 1999
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stefan is an insurance agent selling life insurance with various companies since 2019. Stefan is also a financial advisor with North Ridge Wealth Planning, dedicating about 10-20% of his time to this role.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
February 2019 - Present · 7 yrs 8 mos
Cetera Wealth Services, LLC
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
North Ridge Securities CORP.Broker
October 2017 - February 2019 · 1 yr 4 mos
MML Investors Services, LLCBroker
March 2017 - October 2017 · 7 mos
Msi Financial Services, INC.Broker
December 2011 - March 2017 · 5 yrs 3 mos
Signator Investors, INC.Broker
January 2006 - December 2011 · 5 yrs 11 mos
Henley & Company LLCBroker
January 2005 - December 2005 · 11 mos
Raymond James Financial Services, INC.Broker
November 2003 - December 2004 · 1 yr 1 mo
Ryan Beck & CO.Broker
April 2002 - November 2003 · 1 yr 7 mos
Gruntal & CO., L.L.C.Broker
February 2001 - May 2002 · 1 yr 3 mos
Josephthal & CO., INC.Broker
November 1993 - March 2001 · 7 yrs 4 mos
J. Gregory & Company, INC.Broker
October 1992 - November 1993 · 1 yr 1 mo
State Registrations10 states
AZCTFLGAILNCNJNYPAVA
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.
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