Brian Kaplan
Brian Kaplan is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in New York, NY, with 18 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
90 Park Ave, 18th Floor, New York, NY, 10016
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
February 2005Other Business ActivitiesSells Insurance
Brian is an agent at Lenox Advisors, a non-MMLIA insurance brokerage, since 2009, selling individual and group life and health insurance. This takes a few hours per week.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
Andrew Garrett INC.Broker
Joseph Stevens & Company, INC.Broker
Ladenburg, Thalmann & CO., INC.Broker
State Registrations19 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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