Steven Kaplan
Steven Kaplan is a registered investment advisor at Charles Schwab & CO., INC., based in Westlake, TX, with 10 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
3000 Schwab Way, Westlake, TX, 76262
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2007Other Business Activities
Steven owns rental real estate property and is a member of Rainforest Desiderata, LLC, also related to rental property. He spends minimal time on these activities, ensuring the properties are in proper condition.
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Previous Registrations
Eagle Strategies LLC
Nylife Securities LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Fifth Third Securities, INC.Broker
State Registrations15 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.