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MK

Marshall V. Kaplan

INGALLS INVESTMENT MANAGEMENT
NEW YORK, NY 10020
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CRD#: 1417297
MK
Marshall Van KaplanINGALLS INVESTMENT MANAGEMENT

Professional summary

Marshall Van Kaplan is a registered financial advisor currently at INGALLS INVESTMENT MANAGEMENT, LLC located in New York, New York and INGALLS & SNYDER, LLC located in New York, New York.

Marshall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Marshall has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.

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) - RIA

Click below to view Marshall Van Kaplan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 10, 2026 - Present

INGALLS INVESTMENT MANAGEMENT, LLC

Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020
RIA
CRD#: 343369
NEW YORK, NY
Current

October 10, 2018 - Present

INGALLS & SNYDER, LLC

Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020Office #2: 1 Rockefeller Plaza 7th Floor, New York, NY 10020Office #3: 1 Rockefeller Plaza 7th Floor, New York, NY 10020
RIA
BD
CRD#: 2288
NEW YORK, NY
Past

October 10, 2018 - August 10, 2026

INGALLS & SNYDER, LLC

RIA
CRD#: 2288
NEW YORK, NY
Past

October 1, 2015 - October 30, 2018

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA
CRD#: 110353
NEW YORK, NY
Past

September 30, 2015 - October 30, 2018

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

March 9, 2010 - October 30, 2015

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

March 1, 2010 - October 30, 2015

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

October 24, 1990 - March 1, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

April 23, 1986 - March 1, 2010

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
II
INGALLS INVESTMENT MANAGEMENT, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS INVESTMENT MANAGEMENT, LLC | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM

CRD#: 343369 / SEC#: 801-5016

RIA
Registered Investment Advisory firm - (8/21/1968 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
New Jersey
(10/10/2018)
IAR
New Jersey
(8/10/2026)
RR
New York
(10/10/2018)
IAR
New York
(8/10/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/10/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 11/1/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 10/18/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 2/6/1987
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

II
INGALLS INVESTMENT MANAGEMENT, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS INVESTMENT MANAGEMENT, LLC | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM

CRD#: 343369 / SEC#: 801-5016

RIA
Registered Investment Advisory firm - (8/21/1968 Approved)
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Contact information

Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Mailing Address
Phone number
(212) 269-7800
Established
Firm type
Fiscal year end
# of Employees
50

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

IIM_BROCHURE_07012026 (7/24/2026)

Regulatory assets under management

Total Number of Accounts4,453
AUM (Assets Under Management)$ 7,826,602,578

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

INGALLS INVESTMENT MANAGEMENT, LLC

CRD#: 343369New York, NY 10020

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