Unclaimed Profile

Elizabeth C Kaplan

J.J.B. HILLIARD, W.L. LYONS, LLC·LOUISVILLE, Kentucky

SIE, Series 7, Series 14, Series 24, Series 66, Series 79TOClean record22 years registeredJ.J.B. HILLIARD, W.L. LYONS, LLC

500 WEST JEFFERSON STREET, LOUISVILLE, KY 40202CRD# 4619011Firm CRD# 453

Profile Verification

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

Identity

Elizabeth C Kaplan · LOUISVILLE, KY

Registration

CRD #4619011 · J.J.B. HILLIARD, W.L. LYONS, LLC · 22 years registered

Brand Profile

Not yet started

Career History

ROBERT W. BAIRD & CO. INCORPORATED

Oct 2019 – present

HILLIARD LYONS CAPITAL MANAGEMENT, LLC

Apr 2008 – Apr 2011

LOUISVILLE, KY

J.J.B. HILLIARD, W.L. LYONS, LLC

Jan 2004 – Oct 2019

LOUISVILLE, KY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 14

Series 24

Series 66

Series 79TO

Registration record

First registered · January 6, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

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

Firm Overview

Firm

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD 453 · SEC 801-23120

AUM

$9.3B

Regulatory assets under management

Employees

1,025

31,198 client accounts

Services offered by J.J.B. HILLIARD, W.L. LYONS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at J.J.B. HILLIARD, W.L. LYONS, LLC →

Introduction

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Frequently Asked Questions

What services does Elizabeth C Kaplan offer?

Elizabeth C Kaplan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOUISVILLE, Kentucky for a consultation.

What are Elizabeth C Kaplan's credentials?

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

Where is Elizabeth C Kaplan located?

Elizabeth C Kaplan is based in LOUISVILLE, Kentucky, working with J.J.B. HILLIARD, W.L. LYONS, LLC. Their office serves clients in the LOUISVILLE metropolitan area and surrounding communities.

How does Elizabeth C Kaplan charge for services?

Elizabeth C 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 J.J.B. HILLIARD, W.L. LYONS, LLC?

J.J.B. HILLIARD, W.L. LYONS, LLC has approximately 1025 employees and manages $9.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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