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Lawrence D Kaplan

LPl Financial LLC

Newton, MA

Weston, MA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-08-05
MA RA APPROVED 2013-03-25
  • TX RA
    APPROVED_RES
    Since 2026-08-05
  • MA RA
    APPROVED
    Since 2013-03-25

Branch Locations

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

Weston, 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
OrganizationCityStateFromTo
Lpl Financial Newton MA 03/2013 Present
  • 03/2013 → Present
    Lpl Financial
    Newton, MA
Other Businesses

1. 03/21/2013 - KAPLAN FINANCIAL SERVICES/ DBA ONLY/ 100%/ NEWTON, MA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-06-30
S66 Uniform Combined State Law Examination 2012-05-19
  • S65 Uniform Investment Adviser Law Examination
    2012-06-30
  • S66 Uniform Combined State Law Examination
    2012-05-19

View on SEC IAPD

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