Craig Kaplan, financial advisor Beverly Hills CA
93 score

Craig Kaplan

CRD Number: 1791896
Current Firm: Morgan Stanley

Craig Kaplan (CRD# 1791896) is an Investment Advisor Representative working at Morgan Stanley in Beverly Hills, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Beverly Hills, CA Jun 2009 - Current 7
Citigroup Global Markets Inc. Beverly Hills, CA Jul 1993 - Current 23
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1988
S65 NASAA Investment Advisors Law Examination Jun 1992
Contact Info for Craig S. Kaplan
Phone Number: 914-225-5510
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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