Tammy Kaplan

$1.37T regulatory AUM 17,518 advisory clients

Reported services (Item 5G)

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

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Princeton	NJ	11/2014	12/2023
Fidelity Investments	Princeton	NJ	12/2023	Present
Fidelity Investments	Boston	MA	03/2025	Present

11/2014 → 12/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Princeton, NJ
12/2023 → Present

Fidelity Investments

Princeton, NJ
03/2025 → Present

Fidelity Investments

Boston, MA

2024-01-23 → 2025-03-31

Fidelity Personal And Workplace Advisors

Robbinsville, NJ
2015-05-07 → 2023-12-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Princeton, NJ
2010-09-15 → 2011-09-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

New York, NY

Chandler, AZ
2006-03-23 → 2009-01-15

Chase Investment Services Corp.

Princeton, NJ
2003-01-09 → 2005-09-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-05-04
S65	Uniform Investment Adviser Law Examination	1999-10-25
S63	Uniform Securities Agent State Law Examination	1998-12-30