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RIA / WealthAdvisor37 years in industry

HOWARD ELLIOTT KAPLAN

Advisor at USA FINANCIAL SECURITIES LLC

ADA, MI | Hackensack, NJ

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Search this name across graphsid dfx:ria:804bea7b-09e6-d2bd-2eef-b7bb35d5bd42

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: USA FINANCIAL SECURITIES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 6
Exams: S65|S63
First exam: Mar 21, 1990
First registration: Jul 30, 2002
Dual registered: no
Other names: HOWARD E KAPLAN|HOWARD KAPLAN|HOWARD ELLIOTT KAPLAN|HOWARD ELLIOT KAPLAN
IAPD individual key: 2021501

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
USA FINANCIAL SECURITIES LLC	Independent wealth	Jul 23, 2020	n/a	yes	ADA, MI\|Hackensack, NJ	Current employment
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	Apr 19, 2017	Jul 16, 2020	no	TENAFLY, NJ	Previous registration
WEALTH WATCH ADVISORS, INC	Independent wealth	Feb 25, 2016	Mar 31, 2017	no	Edgewood, NJ\|ENGLEWOOD, CO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 30, 2010	Feb 8, 2016	no	ENGLEWOOD, NJ\|ENGLEWOOD, NJ\|MORRISTOWN, NJ	Previous registration
SUMMIT FAMILY WEALTH COUNSELING INC	Former SEC adviser	Mar 8, 2007	Sep 15, 2010	no	PARSIPPANY, NJ	Previous registration
SUMMIT FINANCIAL RESOURCES INC	Former SEC adviser	Oct 17, 2005	Sep 15, 2010	no	PARSIPPANY, NJ	Previous registration
SUMMIT EQUITIES INC	Former SEC adviser	Oct 17, 2005	Aug 2, 2010	no	PARSIPPANY, NJ\|ENGLEWOOD, NJ\|PARSIPPANY, NJ	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jul 30, 2002	Oct 19, 2005	no	ENGLEWOOD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BROOKSTONE WEALTH ADVISORS, LLC	USA FINANCIAL SECURITIES LLC	Jul 16, 2020	Jul 23, 2020	7	Firm change	RIA to RIA
WEALTH WATCH ADVISORS, INC	BROOKSTONE WEALTH ADVISORS, LLC	Mar 31, 2017	Apr 19, 2017	19	Firm change	Other
LPL FINANCIAL LLC	WEALTH WATCH ADVISORS, INC	Feb 8, 2016	Feb 25, 2016	17	Firm change	Other
SUMMIT FAMILY WEALTH COUNSELING INC	LPL FINANCIAL LLC	Sep 15, 2010	Jul 30, 2010	-47	Firm change after gap	Other
SUMMIT FINANCIAL RESOURCES INC	SUMMIT FAMILY WEALTH COUNSELING INC	Sep 15, 2010	Mar 8, 2007	-1,287	Firm change after gap	Other
SUMMIT EQUITIES INC	SUMMIT FINANCIAL RESOURCES INC	Aug 2, 2010	Oct 17, 2005	-1,750	Firm change after gap	Other
COMMONWEALTH FINANCIAL NETWORK	SUMMIT EQUITIES INC	Oct 19, 2005	Oct 17, 2005	-2	Firm change	Other

Relationships

Registered with (8)

→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: current employment
Jul 23, 2020 to presentfactForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 19, 2017 to Jul 16, 2020factForm ADV
→ WEALTH WATCH ADVISORS, INCRegistered adviserregistration: previous registration
Feb 25, 2016 to Mar 31, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 30, 2010 to Feb 8, 2016factForm ADV
→ SUMMIT FINANCIAL RESOURCES INCRegistered adviserregistration: previous registration
Oct 17, 2005 to Sep 15, 2010factForm ADV
→ SUMMIT FAMILY WEALTH COUNSELING INCRegistered adviserregistration: previous registration
Mar 8, 2007 to Sep 15, 2010factForm ADV
→ SUMMIT EQUITIES INCRegistered adviserregistration: previous registration
Oct 17, 2005 to Aug 2, 2010factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jul 30, 2002 to Oct 19, 2005factForm ADV

Dated events

No dated event names this entity yet.