Stephen Alan Kaplan

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 08/1993 → 09/2025
  Avantax Investment Services, Inc.
  Miami, FL
• 02/1994 → 09/2025
  Avantax Advisory Services
  Miami, FL
• 11/1993 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  Miami, FL
• 07/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Miami, FL
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Miami, FL

Previous Registrations

• 1994-02-11 → 2025-09-05
  Avantax Advisory Services
  Miami, FL

Other Businesses

1) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176 6/20/2016 0hrs~0hrs Responsible for signing trust tax returns 2) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176-3714 10/10/2016 1hrs~0hrs Do the accounting for the trust in preparation of Form 1041, manage the assets of the trust in combination with the beneficiary. I will also make distributions to the beneficiary in accordance with the trust agreement 3) Fiduciary Appointment Trustee 8920 SW 104th St Miami FL 33176 6/21/2016 0hrs~0hrs Responsible for signing trust tax returns 4) Financial Planning Strategies, Inc 8920 SW 104th St Miami FL 33176 Tax Preparation/Accounting President 10/13/2004 10hrs~0hrs I manage my tax, trust, and insurance through this business.| 5) DOROTHY M. KAPLAN TR FBO STEPHEN A. KAPLAN, STEPHEN A. KAPLAN, TRUSTEE POSITION: Trustee NATURE: I am the Trustee and Beneficiary of this Trust Account. This account is being opened at Morgan Stanley. Upon the completion, a new account will be opened at Avantax. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2025 ADDRESS: 8920 SW 104th St., Miami FL 33176, United States DESCRIPTION: I am solely acting as a Trustee until the account gets moved to Avantax. 6) Stephen A. Kaplan, Trustee; Other; Other; NIR; 0; 08/14/2010; 8920 SW 104th St Miami FL 33176; Trustee services, including maintenance of accounting records for preparation of tax returns, assistance in investment management and writing checks including distributions to beneficiaries.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-30
• S63 Uniform Securities Agent State Law Examination
  1993-11-24

Designations

• Certified Financial Planner

Other Names

• Stephen Alan Kaplan