Andrew Kaplan

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1998 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 09/2009 → Present
  Bank Of America, Na
  Charlotte, NC

Other Businesses

I*90541 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: N/A --- SELLING THE POTTERY I MAKE AS A HOBBY INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHARLOTTE, NORTH CAROLINA 28209 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/14/2015 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I MAKE POTTERY AS A HOBBY, AND HAVE DONE SO SINCE I WAS 13 YEARS OLD.. I HAD A SALE AT MY HOUSE, AND MAY DO AGAIN IN THE FUTURE.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-06-22
• S66 Uniform Combined State Law Examination
  1998-07-29

Other Names

• Andrew L Kaplan
• Pete Kaplan
• Andrew Lewis Kaplan