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5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-03-02 |
Branch Locations
51 E Main St, Smithtown, NY 11787 • United States
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Advisory Services, Llc | Smithtown | NY | 02/2023 | Present |
| Kaplan Management Consultants | Commack | NY | 03/2013 | Present |
NAME: SAM H. KAPLAN MANAGEMENT CONSULTANTS. INVESTMENT RELATED: NO. ADDRESS: 164 COUNTRY CLUB DRIVE, COMMACK, NEW YORK 11725. NATURE: ACCOUNTING CONSULTING. POSITION: PRESIDENT. RELATIONSHIP WITH OTHER BUSINESS: NONE. START OF RELATIONSHIP: 2014. HOURS PER MONTH DEVOTED: 20. NUMBER OF HOURS DURING TRADING HOURS: 5. DUTIES: OWNER OF SMALL ACCOUNTING CONSULTING FIRM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-12 |
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