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Stefan Kaplan
33 Years of Experience
Melville, NY
2 DisclosuresBrokerSells Insurance
Stefan Kaplan is a registered investment advisor at Cetera Investment Advisers LLC, based in Melville, NY, with 33 years of industry experience. Stefan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1895 Walt Whitman Rd Ste 6, Melville, NY, 11747
Get directionsHistory
Regulatory History (2)
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Customer Dispute
August 2016Denied
Customer Dispute
July 1999Award / Judgment
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 · 2 yrs 11 mos
Cetera Wealth Services, LLC
February 2019 - Present · 7 yrs 3 mos
Cetera Wealth Services, LLCBroker
February 2019 - Present · 7 yrs 3 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.