Howard Kaplan, who managed $200 million at Stifel, has affiliated with Raymond James Financial Services through Riegel Financial, an independent firm founded 50 years ago that has offices in Cincinnati and Dayton, Ohio.
Kaplan is a 30-year veteran of the business. He had been affiliated with Stifel since 2005 and started his career in 1988 at Merit Financial Corp., according to his BrokerCheck report.
He joins Riegel’s three other advisers and four support staff.
“By aligning services with Riegel Financial, and thereby, Raymond James, I will be able to expand the amenities, capabilities and support I offer to clients to help ensure they and their families are even more comfortable along the journey of achieving their financial ambitions,” Kaplan said in a statement.
Elsewhere, Wells Fargo Advisors adds a $400 million Morgan Stanley veteran in Naples as an ex-Cetera advisor goes independent with LPL
According to a federal charges Bradley Heppner, 60, received more than $150 million in payments through funneling money from GWG Holdings to a shell company.
A $1B fund allegedly skimmed 30% off the top, then swapped cash for locked-up stock.
Insiders allegedly rewrote projections three times in four days.
TCI Wealth Advisors also has also tapped JIFFYAI to unify onboarding and servicing, while TradePMR adds ICE market data to its Fusion advisor platform
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