Mark Kaplan
Professional summary
Mark Kaplan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Mark had worked at 6 firms, which includes VANDERBILT SECURITIES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2011 - February 22, 2018
VANDERBILT SECURITIES, LLC
June 1, 2009 - April 4, 2011
MORGAN STANLEY
September 30, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 3, 2003 - October 4, 2005
MORGAN STANLEY DW INC.
December 2, 1998 - October 4, 2005
MORGAN STANLEY DW INC.
July 18, 1995 - November 25, 1998
CIBC WORLD MARKETS CORP.
August 22, 1989 - July 13, 1995
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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