David S. 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, Series 79TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Stanley Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2020 - Present
MADISON GLOBAL ADVISORS LLC
Office #1: 350 Motor Parkway Suite 205, Hauppauge, NY 11788August 24, 2017 - Present
MADISON GLOBAL PARTNERS LLC
Office #1: 350 Vanderbilt Motor Parkway Suite 205, Hauppauge, NY 11788Office #2: 350 Vanderbilt Motor Parkway, Suite 205, Hauppauge, NY 11788Office #3: 14 East 38th Street 7th Floor, New York, NY 10016May 9, 2018 - December 31, 2019
MADISON GLOBAL ADVISORS LLC
February 2, 2016 - January 5, 2018
TRIDENT ADVISORS LLC
October 16, 2015 - January 5, 2018
TRIDENT PARTNERS LTD.
September 23, 2014 - October 27, 2015
GILFORD FINANCIAL CORP.
May 18, 1993 - November 21, 1994
CARNEGIE INVESTOR SERVICES INC.
January 7, 1991 - October 27, 2015
GILFORD SECURITIES INCORPORATED
March 2, 1990 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 31, 1989 - March 6, 1990
A.J. MICHAELS & CO., LTD.
November 29, 1988 - January 1, 1989
MARKETFIELD SECURITIES LIMITED
April 12, 1988 - June 16, 1988
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 27, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
April 9, 1984 - February 3, 1987
ROONEY, PACE INC.
August 23, 1983 - April 6, 1984
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
MADISON GLOBAL ADVISORS LLC
CRD#: 288894 / SEC#: 801-125976
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/12/2018)
(1/3/2018)
(1/18/2018)
(1/16/2018)
(3/6/2020)
(1/16/2018)
(1/16/2023)
(1/16/2018)
(1/17/2018)
(4/16/2018)
(3/13/2020)
(3/19/2018)
(11/15/2021)
(3/22/2018)
(1/15/2018)
(3/28/2018)
(4/5/2018)
(4/10/2018)
(1/16/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/19/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 4/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
MADISON GLOBAL ADVISORS LLC
CRD#: 288894 / SEC#: 801-125976
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 178 |
| AUM (Assets Under Management) | $ 80,400,000 |
Red Flags
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.
