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 is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.
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% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
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 Registrations17 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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