Unclaimed Profile

Richard Samuel Kaplan

GENEVA ADVISORS, LLC·CHICAGO, Illinois

SIE, Series 7, Series 24, Series 63, Series 65, Series 79TOClean record23 years registeredGENEVA ADVISORS, LLC

181 W. MADISON ST, CHICAGO, IL 60602-4690CRD# 1253766Firm CRD# 121629

Profile Verification

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

Identity

Richard Samuel Kaplan · CHICAGO, IL

Registration

CRD #1253766 · GENEVA ADVISORS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: GENEVA ADVISORS, LLC

CIBC PRIVATE WEALTH ADVISORS, INC.

Nov 2017 – Oct 2025

Chicago, IL

GENEVA ADVISORS, LLC

May 2003 – Sep 2017

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Series 79TO

Registration record

First registered · May 28, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GENEVA ADVISORS, LLC

CRD 121629 · SEC 801-61890

AUM

$7.9B

Regulatory assets under management

Employees

101

14,090 client accounts

Services offered by GENEVA ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at GENEVA ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Samuel Kaplan offer?

Richard Samuel Kaplan specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Richard Samuel Kaplan's credentials?

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

Where is Richard Samuel Kaplan located?

Richard Samuel Kaplan is based in CHICAGO, Illinois, last registered with GENEVA ADVISORS, LLC.

How does Richard Samuel Kaplan charge for services?

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

How large is GENEVA ADVISORS, LLC?

GENEVA ADVISORS, LLC has approximately 101 employees and manages $7.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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