Welcome

As a seasoned Financial Advisor of over 30 years, my mantra in guiding clients and philanthropic initiatives is “Plan Today for a Better Tomorrow.” I believe that when it comes to ensuring a bright future from one’s youth through senior years, with proper planning and the right help, at the right time, the best is yet to come!

I have experience with the unique challenges, styles and strategies that distinguish high net worth investors. With my first priority being your financial success, I utilize a top-down approach to asset management which seeks long-term appreciation of capital while managing risk at a level appropriate for each client. Combining the resources of one of the industry’s premier global institutions with the service and insight of a personal investment manager allows each client to have a fully customized and comprehensive experience.

My process as a Portfolio Management Director first involves taking a look at the attractiveness of the stock, bond and money markets relative to one another. Once the client establishes their time horizon, risk tolerance and tax bracket, I develop an asset allocation strategy rooted in the principles of diversification and inherent value for each purchased security. As the markets continue to progress, I monitor the portfolio to ensure that it is continually designed to help meet my clients’ financial objectives.
Services Include
  • Wealth Management1
  • Professional Portfolio Management2
  • Fixed Income3
  • Asset Management4
  • 401(k) Rollovers
  • Financial Planning5
  • Planning for Education Funding6
  • Retirement Planning7
  • Estate Planning Strategies8
  • Trust Services*
  • Lending Products
  • Cash Management9
  • Annuities10
  • Long Term Care Insurance11
  • Life Insurance12
  • Philanthropic Services
Securities Agent: WI, WA, VT, VA, UT, TX, TN, SC, RI, PA, OR, OH, NY, NM, NJ, NH, NC, MS, MO, MN, MI, MD, MA, LA, KY, IN, IL, HI, GA, FL, DC, CT, CO, CA, AZ, AK; General Securities Representative
NMLS#: 1279530
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

Experience

My career in the investment business began when I joined Morgan Stanley in 1986. Today, I continue to use the prestigious Morgan Stanley Portfolio Management program to design investment plans for a diverse client base which includes corporate accounts, pension plans and individual investors. I earned my Bachelor of Arts degree from the State University of New York at Purchase.

    Location

    1 Penn Plaza 43rd
    Fl
    New York, NY 10119
    US
    Direct:
    (212) 643-5813(212) 643-5813
    Toll-Free:
    (800) 223-4565(800) 223-4565
    Fax:
    (917) 382-9498(917) 382-9498
    From My Desk

    Rhonda Lee Kaplan Brochure - Flipbook


    Investment and Market Perspectives

    On the Markets

    Investing

    Working closely with you to guide your wealth and investments through the most challenging market cycles.
    • Asset Management
    • Wealth Planning
    • Traditional Investments
    • Alternative Investments
    • Impact Investing
    Portfolio Management

    Portfolio Management

    As your life evolves and grows more complex, your financial strategy — and the options for implementing that strategy — tends to grow in complexity as well.

    Family

    Creating customized financial strategies for the challenges that today's families face.
    • Estate Planning Strategies
    • 529 Plans / Education Savings Planning
    • Long Term Care Insurance
    • Special Needs Planning
    • Trust Services
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    Retirement

    Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
    • 401(k) Rollovers
    • IRA Plans
    • Retirement Income Strategies
    • Retirement Plan Participants
    • Annuities
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    Ready to start a conversation? Contact Rhonda L Kaplan today.
    Market Information Delayed 20 Minutes
    1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

    2Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be suitable for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.

    3Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.

    4Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

    5Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.

    6Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

    7Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.

    8Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.

    9Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.

    Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY

    10Annuities are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    11Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    12Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

    Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.

    The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

    Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.

    The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

    *References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.


    CRC 2019752 10/2018