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.

Current firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 3, 1983earliest registration or exam on IAPD

Years in industry

42derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S63

First exam

Oct 3, 1983

First registration

Apr 14, 1994

Dual registered

yes, broker-dealer

Other names

HARLEY L KAPLAN

IAPD individual key

1195219

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b09d0f2f-7639-8194-1ac7-c52e29bdd482

First observed

Apr 14, 1994

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.