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TK

Todd P. Kaplan

CENTERVIEW PARTNERS LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 1559392
TK

Professional summary

Todd Paul Kaplan is a registered financial professional currently at CENTERVIEW PARTNERS LLC located in San Francisco, California.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1986. Todd has worked at 4 firms and has passed the Series 63, Series 79TO, Series 62, SIE, Series 7 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Todd Paul 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®
None

Experience

Current

November 19, 2018 - Present

CENTERVIEW PARTNERS LLC

Office #1: 555 California St, Suite 4300, San Francisco, CA 94104
BD
CRD#: 133796
San Francisco, CA
Past

March 17, 2010 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHICAGO, IL
Past

March 17, 2010 - November 6, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

April 15, 2009 - January 21, 2010

CITADEL SECURITIES LLC

BD
CRD#: 116797
CHICAGO, IL
Past

October 14, 1986 - December 8, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL

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
California
(11/19/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CENTERVIEW PARTNERS LLC
CENTERVIEW PARTNERS LLC | PRUZAN & CO., LLC

CRD#: 133796 / SEC#: , 8-66774

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

Main Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Mailing Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Phone number
(212) 380-2650
Established
Delaware since 02/25/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CENTERVIEW PARTNERS ADVISORY HOLDINGS LLCMANAGING MEMBER
EFFRON, BLAIR WAYNEPARTNER1532642
HARTMAN, ALAN PHILIPPARTNER2595280
KOSOWSKY, AMANDA LENORECHIEF COMPLIANCE OFFICER6639399
PRUZAN, ROBERT ALANPARTNER2018542
ROBINSON, MARK JASONPARTNER2394581
VICARI, JEANNEFINOP & CHIEF FINANCIAL OFFICER1975263

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

CENTERVIEW PARTNERS LLC

CRD#: 133796San Francisco, CA 94104

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