Anthony Kaplan

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-03-29
NY	RA	APPROVED	2022-07-07

FL RA
APPROVED

Since 2023-03-29
NY RA
APPROVED

Since 2022-07-07

Branch Locations

2649 South Rd Ste 107, Poughkeepsie, NY 12601 • United States

Palmetto, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Poughkeepsie	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Poughkeepsie	NY	11/2016	07/2022
Wells Fargo Advisors Financial Network, Llc	Poughkeepsie	NY	07/2022	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Poughkeepsie, NY
11/2016 → 07/2022

Wells Fargo Clearing Services, Llc

Poughkeepsie, NY
07/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Poughkeepsie, NY

Previous Registrations

2021-07-27 → 2022-07-07

Wells Fargo Clearing Services, Llc

Poughkeepsie, NY

Other Businesses

OAK GROUP WEALTH MANAGEMENT LLC, INV RELATED, POUGHKEEPSIE, NY, 28.33% OWNERSHIP, START 4/8/2022, 10 HOURS PER MONTH, ZERO HRS DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR OAK GROUP WEALTH MANAGEMENT, LLC 401K, INV RELATED, POUGHKEEPSIE, NY, START: 3/15/2022, 10 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K.;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-01-09
S63	Uniform Securities Agent State Law Examination	1995-01-03

S65 Uniform Investment Adviser Law Examination

1995-01-09
S63 Uniform Securities Agent State Law Examination

1995-01-03

Other Names

Anthony Andrew Fiordilino
Anthony Andrew Kaplan

View on SEC IAPD