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Andrew Kaplan
19 Years of Experience
Berwyn, PA
2 DisclosuresBroker
Andrew Kaplan is a registered investment advisor at Raymond James & Associates, INC., based in Berwyn, PA, with 19 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Berwyn, PA
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2011Settled
Customer Dispute
September 2010Settled
Other Business Activities
Andrew is a trustee/successor trustee for Kaplan since 2019, dedicating a few hours per week to this activity. This activity is investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2016 - Present · 10 yrs
Raymond James & Associates, INC.
September 2016 - Present · 10 yrs
Raymond James & Associates, INC.Broker
September 2016 - Present · 10 yrs
Previous Registrations
Deutsche Bank Securities INC.
December 2009 - September 2016 · 6 yrs 9 mos
Deutsche Bank Securities INC.Broker
November 2009 - September 2016 · 6 yrs 10 mos
UBS Financial Services INC.
March 2009 - May 2009 · 2 mos
UBS Financial Services INC.Broker
October 2005 - May 2009 · 3 yrs 7 mos
State Registrations39 states
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AdvisorBrokerBoth
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
No exam information available for this advisor.