Daniel Kaplan, financial advisor Newport Beach CA
90 score

Daniel Kaplan

CRD Number: 5944040
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Daniel Kaplan (CRD# 5944040) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch,, Pierce, Fenner & Smith Incorporated Newport Beach, CA Oct 2013 - Current 3
Unemployed San Clemente, CA Apr 2013 - Oct 2013 < 1
Edward Jones Tempe, AZ Oct 2012 - Apr 2013 < 1
Ralphs San Clemente, CA Aug 2012 - Oct 2012 < 1
Unemployed San Clemente, CA May 2012 - Aug 2012 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated La Jolla, CA Jun 2011 - May 2012 < 1
San Diego State University San Diego, CA Aug 2008 - May 2012 3
San Diego State University Bookstore San Diego, CA Jan 2011 - Aug 2011 < 1
Viejas Arena San Diego, CA Sep 2010 - Apr 2011 < 1
Unemployed La Verne, CA Jun 2008 - Aug 2008 < 1
Bonita High School La Verne, CA Sep 2004 - Jun 2008 3
Maggie Moo's Ice Cream & Treatery La Verne, CA Jul 2006 - Dec 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2012
Contact Info for Daniel L. Kaplan
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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