MK
Marshall V. Kaplan
INGALLS & SNYDER
NEW YORK, NY 10020
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CRD#: 1417297
MK
Professional summary
Marshall Van Kaplan is a registered financial advisor currently at 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 6 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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Marshall Van Kaplan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marshall Van 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
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 10020RIA
BD
CRD#: 2288
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 10020RIA
BD
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".
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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(10/10/2018)
RR
New York(10/10/2018)
IAR
New York(7/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Mailing Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Phone number
(212) 269-7800
Established
New York since 01/02/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
84
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| I&S GROUP, LLC | PARENT HOLDING COMPANY | |
| BOUCHER, THOMAS ONEIL JR | MANAGING DIRECTOR | 730430 |
| CASE, ROBERT ANTHONY | CHIEF EXECUTIVE OFFICER | 1367765 |
| CASE, ROBERT ANTHONY | SENIOR MANAGING DIRECTOR | 1367765 |
| DOUGHERTY, JOHN JOSEPH | MANAGING DIRECTOR | 1960029 |
| GARRISON, APHRODITE MAVRICOS | MANAGING DIRECTOR | 1763811 |
| GRISANTI, ADAM F | EXECUTIVE DIRECTOR | 4413657 |
| GRISANTI, ADAM F | CHIEF OPERATIONS OFFICER | 4413657 |
| GRISANTI, ADAM F | CHIEF FINANCIAL OFFICER | 4413657 |
| JANOVIC, ADAM DAVID | MANAGING DIRECTOR | 1521203 |
| LANE-ZUCKER, KEITH SIMON | MANAGING DIRECTOR | 4050531 |
| MCLEAN, ALICE BARZUN | MANAGING DIRECTOR | 4477581 |
| MEEHAN, SEAN PATRICK | MANAGING DIRECTOR | 5033839 |
| PARK, CHRISTIAN CHIHONG | EXECUTIVE DIRECTOR | 3106787 |
| PARK, CHRISTIAN CHIHONG | CHIEF COMPLIANCE OFFICER | 3106787 |
| RIEGEL, GUY RICHARDS | MANAGING DIRECTOR | 1050269 |
| THATCHER, JAMES EDWIN | MANAGING DIRECTOR | 5872101 |
| WESTON, CHRISTINE ELIZABETH | MANAGING DIRECTOR | 1136404 |
Regulatory assets under management
| Total Number of Accounts | 4,189 |
| AUM (Assets Under Management) | $ 6,897,915,721 |
Disclosures
| Regulatory Event | 18 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/22/2024 | ||
| 09/27/2023 |
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.
