Adam Kaplan
Adam Kaplan is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 31 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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.