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Thomas Kaplan

Strategic Advisers LLC

San Diego, CA

San Diego, CA

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • CA RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

11943 El Camino Real Ryan Plaza Ste 120 - 110, San Diego, CA 92130-2597 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mass Mutual Life Insurance Company Colchester VT 07/2018 08/2019
Mml Investors Services, Llc Colchester VT 07/2018 08/2019
Dealer.cOm Burlington VT 04/2016 01/2017
University Of Vermont Burlington VT 09/2014 12/2018
Burlington Publics School System Burlington VT 09/2001 08/2017
E*Trade Securities Llc San Diego CA 11/2019 12/2020
E*Trade Capital Management Llc San Diego CA 11/2019 12/2020
E*Trade Securities Llc La Jolla CA 12/2020 Present
E*Trade Capital Management Llc La Jolla CA 12/2020 Present
Morgan Stanley San Diego CA 03/2023 07/2023
Fidelity Investments San Diego CA 08/2023 Present
Fidelity Investments Boston MA 03/2025 Present
  • 07/2018 → 08/2019
    Mass Mutual Life Insurance Company
    Colchester, VT
  • 07/2018 → 08/2019
    Mml Investors Services, Llc
    Colchester, VT
  • 04/2016 → 01/2017
    Dealer.cOm
    Burlington, VT
  • 09/2014 → 12/2018
    University Of Vermont
    Burlington, VT
  • 09/2001 → 08/2017
    Burlington Publics School System
    Burlington, VT
  • 11/2019 → 12/2020
    E*Trade Securities Llc
    San Diego, CA
  • 11/2019 → 12/2020
    E*Trade Capital Management Llc
    San Diego, CA
  • 12/2020 → Present
    E*Trade Securities Llc
    La Jolla, CA
  • 12/2020 → Present
    E*Trade Capital Management Llc
    La Jolla, CA
  • 03/2023 → 07/2023
    Morgan Stanley
    San Diego, CA
  • 08/2023 → Present
    Fidelity Investments
    San Diego, CA
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2023-09-22 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    San Diego, CA
  • 2019-11-20 → 2023-08-17
    Harrisdirect Llc
    San Diego, CA
    Arlington, VA
    La Jolla, CA
    San Diego, CA
  • 2019-02-08 → 2019-08-12
    Mml Investors Services, Llc
    Colchester, VT
Other Businesses

OBA-125968|OrgNmn:TBD (LLC to be created) pending approval of OBA|Org Addr:San diego,California,US|OBA Nature:Investment property |Invst Rel:Y|Title:Partner|Duties:buying and renting property |StrtDt:12-31-25|TotHrs/mon:1|TrdHrs/mon:0|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-25
  • S66 Uniform Combined State Law Examination
    2019-01-25
Designations
Other Names
  • Thomas Kaplan
  • Thomas Morgan Kaplan

View on SEC IAPD

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