Adam Kaplan
Adam Kaplan is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 32 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
8563 E. San Alberto Drive 100, Scottsdale, AZ, 85258
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2019Customer Dispute
July 2011Customer Dispute
November 2005Other Business ActivitiesSells Insurance
Adam works as an agent at JK Wealth Management, an insurance agency, dedicating full-time hours to insurance sales and service for multiple carriers. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
MML Investors Services, LLCBroker
Msi Financial Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations8 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.
Exams
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