David Stanley Kaplan
Professional Summary
David Stanley Kaplan, who also goes by David Neil Kaplan, David Kaplan, is a registered financial advisor currently at MADISON GLOBAL ADVISORS LLC located in Hauppauge, New York and MADISON GLOBAL PARTNERS LLC located in Hauppauge, New York. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 14 firms and has passed the Series 65, Series 63, Series 57TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Neil Kaplan, David Kaplan
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
MADISON GLOBAL ADVISORS LLC | MADISON GLOBAL PARTNERS LLC
Contact Information
Main Address
350 Motor Parkway Suite 205, Hauppauge, NY 11788Phone Number
(631) 240-4155# of Employees
8SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
233AUM (Assets Under Management)
$71,400,000Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
MADISON GLOBAL ADVISORS LLC | MADISON GLOBAL PARTNERS LLC
State Registrations and Notice Filings
(4/12/2018)
(1/3/2018)
(1/18/2018)
(1/16/2018)
(1/16/2018)
(1/16/2023)
(1/16/2018)
(1/17/2018)
(4/16/2018)
(3/19/2018)
(11/15/2021)
(3/22/2018)
(1/15/2018)
(3/28/2018)
(4/5/2018)
(4/10/2018)
(1/16/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed May 1999Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1986SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Stanley Kaplan's CRS (Customer Relationship Summary).
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