Steven Todd Kaplan

CRD 4982793 · Charles Schwab & Co., Inc. · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Steven T Kaplan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (17): Alaska · Arizona · California · Florida · Hawaii · Idaho · Illinois · Louisiana · Michigan · Missouri · Nevada · New Mexico · Oregon · Tennessee · Texas · Utah · Washington
Years in the industry (source record): 10
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4982793 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Eagle Strategies LLC
Frisco, TX · IA capacity

Jun 25, 2021 → Nov 18, 2024
Nylife Securities LLC
Frisco, TX · BC capacity

Nov 20, 2020 → Nov 18, 2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Southlake, TX · IA capacity

May 5, 2017 → Jul 21, 2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Southlake, TX · BC capacity

Dec 21, 2016 → Jul 21, 2020
Fifth Third Securities, Inc.
Gurnee, IL · BC capacity

May 16, 2007 → Feb 20, 2009

Source & corrections

Where this page comes from

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