LK
LK
Lawrence Kaplan is a registered investment advisor at Morgan Stanley, based in Chicago, IL, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
233 South Wacker Drive, Suite 8600, Chicago, IL, 60606
Get directionsHistory
Regulatory History (1)
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Regulatory
May 1984Final
Other Business Activities
Lawrence is a Grantor and Trustee involved in lending activities since 2015. He dedicates minimal time to this administrative role.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
August 2007 - June 2009 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
August 2007 - June 2009 · 1 yr 10 mos
Citigroup Global Markets INC.
June 1998 - September 2007 · 9 yrs 3 mos
Citigroup Global Markets INC.Broker
July 1993 - September 2007 · 14 yrs 2 mos
Lehman Brothers INC.Broker
November 1992 - July 1993 · 8 mos
Lee Harris and CompanyBroker
March 1985 - December 1988 · 3 yrs 9 mos
Individuals' Financial Services, IncorporatedBroker
April 1982 - December 1984 · 2 yrs 8 mos
State Registrations34 states
AZCACOCTDCFLGAHIILINKYLAMAMDMEMIMNMOMSNCNJNMNVNYOHPASCSDTXUTVAVTWAWI
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.