Advisor at Raymond James Financial
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Firm
Raymond James Financial
Location
Grand Lake, CO
Credentials
Series 63, Series 66
Industry experience
34 years
Patricia Kaplan is a financial advisor at Raymond James Financial with 34 years of industry experience. She holds Series 63 and Series 66 licenses and previously worked at JP Morgan Securities LLC and JPMorgan Chase Bank, N.A. She serves as a trustee on her own family trusts. Raymond James Financial Services Advisors, Inc. serves a diverse client base including individual investors, high-net-worth clients, pension plans, and charitable organizations. The firm provides financial planning and non-discretionary investment consulting, emphasizing tailored advice and a wide range of implementation options.
Based on Raymond James Financial
Based on Raymond James Financial
Fixed (flat) dollar fees may be charged for planning and/or investment consulting services
Commissions are charged in brokerage accounts when implementing financial plans or recommendations; fees and commissions may be offset or discounted for legacy clients.
Hourly rates for planning and/or investment consulting services generally up to $400 per hour
Fee-only: Hourly fees generally up to $400 per hour; fees may also be fixed (flat) dollar amounts or a percentage of assets under advisement not to exceed 2.25%
Grand Lake, CO
Colorado
Raymond James Financial
2026 - Present (1 year)
Raymond James Financial Services, INC
2026 - Present (1 year)
Raymond James & Associates, INC
2025 - 2025 (1 year)
JP Morgan Securities LLC
2017 - 2025 (8 years)
JPMorgan Chase BAnk, N.A.
2017 - 2025 (8 years)
unemployed
2016 - 2017 (1 year)
First Financial Equity Corporation
2015 - 2016 (1 year)
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Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
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Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
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