Harold M. Kaplan
Professional summary
Harold M Kaplan, who also goes by Harold Kaplan, is a registered financial professional currently at CURVATURE SECURITIES LLC located in Chatham, New Jersey.
Harold is registered as a RR (Registered Representative) and started their career in finance in 1991. Harold has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harold M Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2024 - Present
CURVATURE SECURITIES LLC
Office #1: 39 Main Street, Chatham, NJ 07928July 30, 2008 - December 31, 2010
COMPUTERSHARE SECURITIES CORPORATION
July 17, 2008 - September 20, 2013
GEORGESON SECURITIES CORPORATION
June 8, 2004 - July 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1991 - May 30, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 15, 1991 - May 30, 1995
EQUITABLE ADVISORS, 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
Exams
Series 99TO
Date: 8/29/2024
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CURVATURE SECURITIES LLC
CRD#: 169708 / SEC#: , 8-69384
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
