Michael Keith Kaplan

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/2009 → 03/2021
  Morgan Stanley Smith Barney
  Houston, TX
• 01/2015 → 03/2021
  Morgan Stanley Private Bank, National Association
  New York, NY
• 03/2021 → Present
  Prospera Financial Services Inc.
  Dallas, TX

Previous Registrations

• 2009-06-01 → 2021-04-06
  Morgan Stanley
  Houston, TX
  Houston, TX
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Houston, TX
• 1992-06-26 → 2007-04-02
  Morgan Stanley Dw Inc.
  Houston, TX
  Houston, TX

Other Businesses

Kaplan Travel Services; Investment Related - No; 3810 Durness Way, Houston, TX 77025; Travel Insurance; Agent; Owner; 12/2025; 1 Hour per Month during Trading Hours. Agent to be able to purchase travel insurance for myself and family only. TXGOLDBUYER: Investment Related - No; 3810 Durness Way, Houston, TX 77025; Principal Buyer, Seller and Collector; Owner; 02/2026; 10 Hour per Month; 5 During Trading Hours. Personally buy and sell gold, silver, metals and fine watches. Kaplan Wealth Advisor; Investment Related - No; 3810 Durness Way, Houston, TX 77025; DBA; CEO; Advisor; 03/2021; 160 Hours per Month; 160 Hours During Trading Hours; All financial advisory services, securities transactions, and investment business are conducted solely through, and supervised by, the broker-dealer.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-07-28
• S63 Uniform Securities Agent State Law Examination
  1992-06-24