Richard E Kaplan

Current Employers

Employment History

• 08/1998 → 09/2019
  Legacy Asset Management, Inc.
  Houston, TX
• 11/1999 → 09/2019
  Legacy Asset Securities, Inc.
  Houston, TX
• 09/2019 → Present
  Inscription Capital, Llc
  Houston, TX

Previous Registrations

• 1998-08-19 → 2019-09-04
  Legacy Asset Management, Inc.
  Houston, TX
• 1998-08-19 → 2016-12-31
  Legacy Asset Management, Inc.
  Houston, TX

Other Businesses

1.) PARTNER GRAND RSK MANAGEMENT,LLC; INVESTMENT RELATED; 3411 RICHMOND AVE #750 HOUSTON,TX 77046; NATURE: MANAGEMENT COMPANY OVERSEES ACTIVITIES OF GRAND RSK,LTD; GENERAL PARTNER; START DATE:SEPTEMBER 2012; # OF HRS/MONTH DEVOTED 5 HOURs; #OF HOURS DURING SECURITIES TRADING HOURS:5 HOUR; DUTIES: COMPLETE PAPERWORK, MANAGE PARTNERS,AND ACTIVITIES; 2.) GRAND RSK, LTD; INVESTMENT RELATED; 3411 RICHMOND AVENUE #750 HOUSTON, TX 77046; NATURE OF BUSINESS: TRUST THAT HOLDS VARIOUS ASSETS INCLUDING STOCKS, BONDS, R/E, AND P/E; START DATE: 09 2012; APPROX # OF HRS/MONTH DEVOTED: 1 HOUR ;#OF HOURS DURING SEC TRADING HOURS: 1 HOUR; DUTIES: TRUSTEE & FIDUCIARY INVESTMENT MANAGER; 3.) KAPLAN PR LLC.;GENERAL PARTNER; INVESTMENT RELATED;3411 RICHMOND AVENUE #750 HOUSTON, TX 77046; NATURE OF BUSINESS: PARTNERSHIP HOLDS SEVERAL REAL ESTATE HOLDINGS; START DATE OF: MAY 2013; # OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR; DUTIES:PROVIDE ADVICE & EXPERTISE; LAKE HOUSTON LOTS, 06/01/2018, NOT A CHARITABLE, CIVIC, RELIGIOUS OR FRATERNAL GROUP, PASSIVE INVESTMENT, PASSIVE INVESTMENT IN REAL ESTATE PARTNERSHIP, TRUSTEE, VOTE AS A REPRESENTATIVE OF THE KAPLAN FAMILY IN THE SELLING OF A PIECE OF PROPERTY, NOT JOB RELATED, 0HRS/PER MONTH, 0/HRS DURING MARKET, NO COMPENSATION; 4.) EMERY WEINER SCHOOL; NON INVESTMENT RELATED;SCHOOL; TREASURER OF THE BOARD (2017-2018);9825 STELLA LINK HOUSTON, TEXAS 77025;AUGUST 2016:# OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR;REVIEW FINANCIAL REPORTS, ANNUAL BUDGET, SIGN CHECKS; 5.) HOLOCAUST MUSEUM HOUSTON; NON INVESTMENT RELATED; FOUNDATION COMMITTEE MEMBER; COMMUNITY SERVICE; 5401 CAROLINE HOUSTON, TEXAS 77004; NOVEMBER 2011; # OF HRS/MONTH DEVOTED: 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 1 HOUR; 6.) CONGREGATION BETH ISRAEL; NON INVESTMENT RELATED; RELIGIOUS INSTITUTION; INVESTMENT COMMITTEE MEMBER; AUGUST 2003; # OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR 5600 N. BRAESWOOD HOUSTON, TX 77096; REVIEW INVESTMENT PERFORMANCE AND ADVISE ON OTHER MATTERS; 7.) HUNTERS TRAIL LP; NON INVESTMENT RELATED; MANAGEMENT COMPANY OVERSEES ACTIVITIES OF HUNTERS TRAIL,LP; GENERAL PARTNER; START DATE:MARCH 2025; # OF HRS/MONTH DEVOTED (1 HOUR); #OF HOURS DURING SECURITIES TRADING HOURS (0 HOURS); DUTIES: COMPLETE PAPERWORK AND MANAGE PARTNERS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-10
• S63 Uniform Securities Agent State Law Examination
  1997-11-11

Other Names

• Rick Kaplan
• Ricard E Kaplan
• Rick Kaplan