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Howard Elliott Kaplan

Investment Adviser Representative at USA FINANCIAL SECURITIES LLC

Tenafly, NJCRD #2021501Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
6 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 6 states
CaliforniaMarylandNew JerseyNew MexicoNew YorkWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/14/2026
Series 63
Uniform Securities Agent State Law Examination
Passed 3/21/1990
SIE
Securities Industry Essentials Examination
Passed 2/8/2016
Series 7
General Securities Representative Examination
Passed 9/13/1991
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/23/1990
Series 22
Direct Participation Programs Representative Examination
Passed 3/21/1990
Series 24
General Securities Principal Examination
Passed 6/11/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

USA Financial Securities LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

USA FINANCIAL SECURITIES LLCCurrent
7/23/2020Tenafly, NJ
RETIREMENT WEALTH ADVISORS, INC.
4/19/20177/16/2020Tenafly, NJ
WEALTH WATCH ADVISORS, LLC
2/25/20163/31/2017Edgewood, NJ
LPL FINANCIAL LLC
7/30/20102/8/2016Englewood, NJ
SUMMIT FAMILY WEALTH COUNSELING INC
3/8/20079/15/2010Parsippany, NJ
SUMMIT FINANCIAL RESOURCES INC
10/17/20059/15/2010Parsippany, NJ
SUMMIT EQUITIES INC
10/17/20058/2/2010Englewood, NJ
COMMONWEALTH FINANCIAL NETWORK
7/30/200210/19/2005Englewood, NJ

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Howard Elliott Kaplan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Howard Elliott Kaplan - Financial Advisor in Tenafly, NJ | AdvisorFinder