Gary M. Kaplan
Professional summary
Gary Mitchell Kaplan, who also goes by Gary M Kaplan, Gary Mitchell Kaplan, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1988. Gary has worked at 12 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 53, Series 24, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary Mitchell Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2024 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017April 24, 2020 - June 3, 2024
COWEN AND COMPANY
March 29, 2017 - June 3, 2024
WESTMINSTER RESEARCH ASSOCIATES LLC
April 27, 2016 - July 21, 2020
COWEN EXECUTION SERVICES LLC
March 11, 2013 - April 26, 2016
DEUTSCHE BANK SECURITIES INC.
September 3, 2009 - September 24, 2012
PRAGMA LLC
September 9, 2002 - December 31, 2008
GOLDMAN SACHS & CO. LLC
May 14, 1997 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 30, 1995 - May 2, 1997
ASIEL & CO. LLC
February 4, 1992 - January 27, 1995
TD AMERITRADE, INC.
September 25, 1990 - January 24, 1992
W.A. CAPITAL MARKETS
November 23, 1988 - January 2, 1989
EQUITABLE SECURITIES OF NEW YORK,INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/4/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/23/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 6/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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