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Detailed Report
Henry E Kaplan
HENRY EDWARD KAPLAN
CRD#: 1400714
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 2-10 BROAD STREET
SUITE 203
RED BANK, NJ 07701
B. RILEY WEALTH MANAGEMENTCRD#: 2543 10 BROAD STREET
SUITE 203/303
RED BANK, NJ 07701
Registration History
19901995200020052010201520202025IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2018 - Present (6 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (2 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2018 - 2022 (4 years)BMORGAN STANLEY DISTRIBUTION, INC. (CRD# 30344)2013 - 2017 (3 years)BMORGAN STANLEY (CRD# 149777)2009 - 2013 (4 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1987 - 2007 (19 years)IAMORGAN STANLEY INVESTMENT MANA... (CRD# 110353)2014 - 2017 (3 years)IAMORGAN STANLEY (CRD# 149777)2010 - 2013 (3 years)
License(s)

State Registrations

IA
New Jersey 7/24/2018
B
New York 7/22/2022
B
New Jersey 7/22/2022
B
Texas 11/16/2023
IA
New York 6/23/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)
2-10 BROAD STREET SUITE 203, RED BANK, NJ 07701
Registered with this firm since 7/24/2018
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
10 BROAD STREET SUITE 203/303, RED BANK, NJ 07701
Registered with this firm since 7/22/2022
Previous Registration(s)
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B
 07/19/2018 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) NEW YORK, NY
IA
 01/24/2014 - 06/29/2017 MORGAN STANLEY INVESTMENT MANAGEMENT INC. (CRD#:110353) NEW YORK, NY
B
 10/04/2013 - 06/29/2017 MORGAN STANLEY DISTRIBUTION, INC. (CRD#:30344) NEW YORK, NY
IA
 08/18/2010 - 10/24/2013 MORGAN STANLEY (CRD#:149777) PURCHASE, NY
B
 06/01/2009 - 10/24/2013 MORGAN STANLEY (CRD#:149777) PURCHASE, NY
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PURCHASE, NY
B
 06/23/1987 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.