Stephen Kaplan, CFP®, CPA, PFS
Miami, Florida, 33176
My Location
Background Information
Years of Financial Experience
- 34
Education
- UNIVERSITY OF MIAMI (BBA)
- UNIVERSITY OF MIAMI (MS)
- COLLEGE FOR FINANCIAL PLANNING
Certifications and Designations
- CFP®
- CPA
- PFS
Association Memberships
- FPA
Methods of Compensation
- Financial Planning: Asset-based fee, Commissions (Insurance)
- Investment Services: Asset-based fee, Commissions (Insurance)
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Wells Fargo Investments, LLC
Types of Financial Reports
- Performance Report (Quarterly)
Additional Business Practices
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them upon request
- I review my clients' investment portfolios with them quarterly
Registration & Licensing
- CRD/IARD Number: 2397350
- Securities Registrations: Series 65, Series 63, Series 7
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability, Health
Company Names
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Planning Services
- Financial Planning, Retirement, College Funding, Estate, Tax
Investment Services
- Asset allocation, Re-Balancing, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- Mutual Funds, Securities, REITs
Insurance Products
- Life, Variable Annuity, Long-Term Care, Disability Income
Tax Advice & Services
- Tax Clients: Individuals & Families
- Tax Services: Tax Planning, Tax Advice, Tax Efficient Investing
