Michael Bruce Kaplowitz

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 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

• 10/2008 → 09/2020
  Securities Service Network, Inc.
  Armonk, NY
• 09/2020 → 11/2022
  Securities America, Inc.
  Somers, NY
• 09/2020 → 11/2022
  Securities America Advisors, Inc.
  Somers, NY
• 11/2022 → 06/2024
  Securities America Advisors, Inc
  Katonah, NY
• 11/2022 → 06/2024
  Securities America, Inc.
  Katonah, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Katonah, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Katonah, NY

Previous Registrations

• 2020-09-18 → 2024-06-14
  Securities America Advisors, Inc.
  Somers, NY
• 2008-11-10 → 2020-09-18
  Ssn Advisory, Inc.
  Somers, NY
• 2008-07-01 → 2008-11-06
  Equitable Advisors, Llc
  Armonk, NY
  New York, NY
  Armonk, NY

Other Businesses

1. MICHAEL B. KAPLOWITZ, J.D., CFP POSITION: Principal NATURE: Michael B. Kaplowitz. Sell Long Term Care insurance, Fixed Annuities, Life Insurance, Disability and Health Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/04/1984 ADDRESS: 26 Lalli Drive, Katonah NY 10536 2. SOMERS DEMOCRATIC TOWN COMMITTEE POSITION: District Leader NATURE: Political District Leader with the Somers NY Democratic Town Committee. Carry candidates' petitions to get on the ballot and meet once a month to discuss and vote on town and county political matters. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 16 Logging Road, Katonah NY 10536 3. SOMERS LIONS CLUB OF SOMERS, NY POSITION: volunteer and 2 year board member NATURE: Lions Club of Somers, NY volunteer and 2 year Board Member. Community charitable organization. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2020 ADDRESS: P.O. Box 95, Somers NY 10689 4. MICHAEL B. KAPLOWITZ, J.D., CFP POSITION: Attorney NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 26 Lalli Drive, Katonah NY 10536, United States DESCRIPTION: Very part-time legal services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-05-23
• S63 Uniform Securities Agent State Law Examination
  1984-12-05