Susan Carol Kaplan

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2006-01-12
TX	RA	APPROVED_RES	2003-10-31

MA RA
APPROVED

Since 2006-01-12
TX RA
APPROVED_RES

Since 2003-10-31

Branch Locations

2227 Washington St, Ste 300 2 Newton Executive Park, Newton, MA 02462 • United States

Newton, MA • 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

Organization	City	State	From	To
Lpl Financial, Llc	Newton	MA	09/1991	Present
Kaplan Financial Services	Wellesley	MA	06/1993	Present

09/1991 → Present

Lpl Financial, Llc

Newton, MA
06/1993 → Present

Kaplan Financial Services

Wellesley, MA

Other Businesses

1.04/21/2006; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Kaplan Financial Services; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-28
S63	Uniform Securities Agent State Law Examination	1991-10-17

S65 Uniform Investment Adviser Law Examination

1994-12-28
S63 Uniform Securities Agent State Law Examination

1991-10-17

Designations

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews