Unclaimed Profile

Richard E Kaplan

LEGACY ASSET MANAGEMENT, INC.·HOUSTON, Texas

SIE, Series 7, Series 24, Series 63, Series 65Clean record27 years registeredLEGACY ASSET MANAGEMENT, INC.

3411 RICHMOND AVE, HOUSTON, TX 77046CRD# 2944041Firm CRD# 111423

Profile Verification

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

Identity

Richard E Kaplan · HOUSTON, TX

Registration

CRD #2944041 · LEGACY ASSET MANAGEMENT, INC. · 27 years registered

Brand Profile

Not yet started

Career History

INSCRIPTION CAPITAL, LLC

Sep 2019 – present

LEGACY ASSET MANAGEMENT, INC.

Aug 1998 – Sep 2019

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · August 19, 1998

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LEGACY ASSET MANAGEMENT, INC.

CRD 111423 · SEC 801-57208

AUM

$162M

Regulatory assets under management

Employees

522 client accounts

Services offered by LEGACY ASSET MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at LEGACY ASSET MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Richard E Kaplan offer?

Richard E Kaplan specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in HOUSTON, Texas for a consultation.

What are Richard E Kaplan's credentials?

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

Where is Richard E Kaplan located?

Richard E Kaplan is based in HOUSTON, Texas, working with LEGACY ASSET MANAGEMENT, INC.. Their office serves clients in the HOUSTON metropolitan area and surrounding communities.

How does Richard E Kaplan charge for services?

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

How large is LEGACY ASSET MANAGEMENT, INC.?

LEGACY ASSET MANAGEMENT, INC. has approximately 7 employees and manages $162M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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