RK
Robert B. Kaplan
ASCENSUS BROKER DEALER SERVICES
Dresher, PA 19025
Some features on this profile are disabled
CRD#: 1286735
RK
Professional summary
Robert Barry Kaplan, who also goes by Bob Kaplan, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 27 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Kaplan
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Barry Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 16, 2018 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025BD
CRD#: 36478
Dresher, PA
Past
December 19, 2022 - November 21, 2023
NEWPORT GROUP SECURITIES, INC.
BD
CRD#: 29722
LAKE MARY, FL
Past
July 16, 2018 - January 2, 2019
ASCENSUS FINANCIAL SERVICES, LLC.
BD
CRD#: 147257
DRESHER, PA
Past
May 16, 1994 - August 12, 1998
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
December 17, 1985 - April 3, 2000
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2019)
RR
Alaska(1/29/2019)
RR
Arizona(12/13/2018)
RR
Arkansas(1/28/2019)
RR
California(2/1/2019)
RR
Colorado(12/7/2018)
RR
Connecticut(12/7/2018)
RR
District of Columbia(12/7/2018)
RR
Florida(12/7/2018)
RR
Georgia(12/19/2018)
RR
Hawaii(12/20/2018)
RR
Idaho(12/7/2018)
RR
Illinois(12/10/2018)
RR
Indiana(1/2/2019)
RR
Iowa(1/29/2019)
RR
Kansas(1/4/2019)
RR
Kentucky(1/3/2019)
RR
Louisiana(12/7/2018)
RR
Maine(12/10/2018)
RR
Maryland(11/2/2018)
RR
Massachusetts(9/12/2018)
RR
Minnesota(1/16/2019)
RR
Mississippi(12/20/2018)
RR
Missouri(12/20/2018)
RR
Montana(2/6/2019)
RR
Nebraska(1/14/2019)
RR
Nevada(1/3/2019)
RR
New Mexico(1/16/2019)
RR
North Carolina(1/18/2019)
RR
North Dakota(1/15/2019)
RR
Ohio(12/7/2018)
RR
Oklahoma(12/20/2018)
RR
Oregon(12/26/2018)
RR
Pennsylvania(8/22/2018)
RR
Rhode Island(12/19/2018)
RR
South Carolina(2/1/2019)
RR
Tennessee(12/20/2018)
RR
Texas(1/4/2019)
RR
Utah(12/19/2018)
RR
Virginia(12/20/2018)
RR
Washington(1/11/2019)
RR
West Virginia(1/4/2019)
RR
Wisconsin(1/23/2019)
RR
Wyoming(1/14/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
AB
ASCENSUS BROKER DEALER SERVICES, LLC
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
95 Wells Avenue Suite 160, Newton, MA 02459
Phone number
(215) 648-1272
Established
Delaware since 01/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
