Jeffrey W. Kaplan
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.
Jeffrey Wade Kaplan, who also goes by Jeff Kaplan, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 1996 - December 31, 1998
FIRST SECURITIES USA, INC.
January 26, 1995 - June 26, 1996
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 17, 1994 - January 20, 1995
SOUTHERN CAPITAL SECURITIES, INC.
May 30, 1990 - March 5, 1994
PALM STATE EQUITIES, INC.
October 5, 1989 - November 30, 1989
KOCHCAPITAL
March 15, 1989 - August 26, 1989
PACIFIC SOUTHERN SECURITIES, INC.
April 11, 1988 - March 21, 1989
AMERICAN WALLSTREET SECURITIES, INC.
August 10, 1987 - March 29, 1988
GRAYSTONE NASH, INC.
April 30, 1987 - July 28, 1987
LIFE SECURITIES CORPORATION
February 19, 1986 - April 14, 1987
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST SECURITIES USA, INC.
CRD#: 39986 / SEC#: , 8-48922
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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