Lawrence Michael Kaplan

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• 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 → Present
  Morgan Stanley
  Chicago, IL
• 01/2015 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2007-08-31 → 2009-06-01
  Morgan Stanley & Co. Llc
  Chicago, IL
• 1998-06-05 → 2007-09-10
  Citigroup Global Markets Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

*396965 - Lawrence M Kaplan; Investment related Yes; Northbrook, Illinois; Lending; Grantor and Trustee (proprietor, partner, officer, director, employee, trustee, agent); Aug 2015; During business hours: 0; After business hours: 0; Administrative

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-05-12
• S63 Uniform Securities Agent State Law Examination
  1992-11-06