Stanley E. Caplan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stanley Edward Caplan was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1982. Stanley had worked at 4 firms and has passed the Series 63, Series 6, Series 7, Series 5 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2001 - April 7, 2005
MAIN STREET SECURITIES, LLC
October 13, 1983 - August 11, 1986
CIBC WORLD MARKETS CORP.
January 26, 1983 - October 6, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
October 12, 1982 - December 2, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/10/1982
Interest Rate Options ExaminationCurrent Firm
MAIN STREET SECURITIES, LLC
CRD#: 47127 / SEC#: , 8-51685
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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