Unclaimed Profile

Henry Edward Kaplan

NATIONAL ASSET MANAGEMENT, INC.·BOCA RATON, Florida

SIE, Series 3, Series 7, Series 8, Series 9, Series 10, Series 24, Series 63, Series 65, Series 66, Series 79TOClean record15 years registeredNATIONAL ASSET MANAGEMENT, INC.

5000 T-REX AVENUE, BOCA RATON, FL 33431CRD# 1400714Firm CRD# 115927

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Henry Edward Kaplan · BOCA RATON, FL

Registration

CRD #1400714 · NATIONAL ASSET MANAGEMENT, INC. · 15 years registered

Brand Profile

Not yet started

Career History

B. RILEY WEALTH ADVISORS, INC.

Jul 2018 – present

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

Jan 2014 – Jun 2017

NEW YORK, NY

MORGAN STANLEY

Aug 2010 – Oct 2013

PURCHASE, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 8

Series 9

Series 10

Series 24

Series 63

Series 65

Series 66

Series 79TO

Registration record

First registered · August 18, 2010

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

B. RILEY WEALTH ADVISORS, INC.

CRD 115927 · SEC 801-64837

AUM

$7.6B

Regulatory assets under management

Employees

457

20,038 client accounts

Services offered by B. RILEY WEALTH ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at B. RILEY WEALTH ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Henry Edward Kaplan offer?

Henry Edward Kaplan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BOCA RATON, Florida for a consultation.

What are Henry Edward Kaplan's credentials?

Henry Edward Kaplan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Henry Edward Kaplan located?

Henry Edward Kaplan is based in BOCA RATON, Florida, working with NATIONAL ASSET MANAGEMENT, INC.. Their office serves clients in the BOCA RATON metropolitan area and surrounding communities.

How does Henry Edward Kaplan charge for services?

Henry Edward Kaplan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NATIONAL ASSET MANAGEMENT, INC.?

NATIONAL ASSET MANAGEMENT, INC. has approximately 457 employees and manages $7.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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