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DK

David Kaplan

Some features on this profile are disabled
CRD#: 1416656
DK

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.

David Kaplan was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1987. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 12, 2020 - December 11, 2020

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
New York, NY
Past

April 17, 2018 - June 15, 2018

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
STAMFORD, CT
Past

March 20, 2018 - June 15, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
STAMFORD, CT
Past

August 11, 2015 - October 3, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
STAMFORD, CT
Past

September 6, 2013 - March 31, 2014

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
NEW YORK, NY
Past

June 18, 2012 - April 19, 2013

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

April 9, 2012 - June 19, 2012

ROCHDALE CAPITAL MANAGEMENT

RIA
CRD#: 158942
STAMFORD, CT
Past

November 3, 2011 - January 30, 2012

ROCHDALE SECURITIES LLC

BD
CRD#: 6863
NEW YORK, NY
Past

September 16, 2010 - October 12, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

June 2, 2009 - October 1, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

October 5, 1987 - April 11, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/16/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/2009
General Securities Principal Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event5

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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