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CLAY KENT KAPLAN JR.
CLAY K. KAPLAN, Kent Kaplan
CRD#: 4830046
IA
B
FIRST HORIZON ADVISORS, INCCRD#: 17117 2340 Woodcrest Place
Birmingham, AL 35209
Birmingham, AL 35209
0
Disclosures
11
Years of Experience
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State Registrations
IA
Alabama 12/11/2020
IA
Louisiana 9/3/2024
B
Alabama 7/20/2024
B
Montana 9/3/2024
B
Florida 9/3/2024
B
Ohio 9/3/2024
B
Georgia 9/3/2024
B
Tennessee 9/3/2024
B
Louisiana 9/3/2024
SRO Registrations
B
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IA
Registered with this firm since 12/11/2020
B
Registered with this firm since 6/13/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/13/2007 - 03/31/2012 | BIRMINGHAM, AL | |
B | 08/10/2004 - 02/13/2007 | BIRMINGHAM, AL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.