Leonard Howard Kaplan

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-08-24
TX	RA	APPROVED_RES	2020-04-15
PA	RA	APPROVED	2013-07-19

FL RA
APPROVED

Since 2021-08-24
TX RA
APPROVED_RES

Since 2020-04-15
PA RA
APPROVED

Since 2013-07-19

Branch Locations

One Ppg Place Suite1300, Pittsburgh, PA 15222 • United States

Boynton Beach, 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
Morgan Stanley Smith Barney	Pittsburgh	PA	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

Pittsburgh, PA
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

1993-02-05 → 2008-09-29

Ubs Financial Services Inc.

Pittsburgh, PA

Pittsburgh, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-08-19
S63	Uniform Securities Agent State Law Examination	1986-10-31

S65 Uniform Investment Adviser Law Examination

2021-08-19
S63 Uniform Securities Agent State Law Examination

1986-10-31

Other Names

Leonard H Kaplan

View on SEC IAPD