Stephen E. Kaplan
Professional summary
Stephen Edwin Kaplan, who also goes by Stephen Edwin Kaplan, Stephen Kaplan, is a registered financial advisor currently at ALLSTATE FINANCIAL SERVICES, LLC located in Lincoln, Nebraska.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 13 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Edwin Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2020 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 151 N 8th St Ste 450, Lincoln, NE 68508-1380March 13, 2018 - April 8, 2020
EVERLAKE DISTRIBUTORS, LLC
June 12, 2014 - April 16, 2018
ALLSTATE FINANCIAL SERVICES, LLC
November 5, 2013 - June 9, 2014
PRINCIPAL SECURITIES, INC.
October 24, 2011 - September 17, 2013
NEW ENGLAND SECURITIES
May 21, 2007 - January 26, 2010
SIGNATOR INVESTORS, INC.
May 4, 2007 - January 26, 2010
SIGNATOR INVESTORS, INC.
March 24, 2006 - March 5, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
January 18, 2006 - February 20, 2007
AMSOUTH INVESTMENT SERVICES, INC.
December 19, 2002 - January 3, 2006
PRUCO SECURITIES, LLC.
July 16, 2002 - January 3, 2006
PRUCO SECURITIES, LLC.
August 3, 2000 - July 9, 2002
MONY SECURITIES CORPORATION
December 15, 1997 - June 21, 2000
SUNSET FINANCIAL SERVICES, INC.
December 1, 1997 - December 20, 1997
CAPITAL BROKERAGE CORPORATION
June 7, 1993 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
January 23, 1989 - February 25, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 23, 1989 - February 25, 1993
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/28/2020)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
