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BK

Barry D. Kaplan

OSCAR GRUSS & SON
New York, NY 10022
Some features on this profile are disabled
CRD#: 1996420
BK

Professional summary

Barry Douglas Kaplan is a registered financial professional currently at OSCAR GRUSS & SON INCORPORATED located in New York, New York.

Barry is registered as a RR (Registered Representative) and started their career in finance in 1992. Barry has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 24, Series 4 and Series 8 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 Barry Douglas 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 26, 2012 - Present

OSCAR GRUSS & SON INCORPORATED

Office #1: 10 East 53rd Street 17th Floor, New York, NY 10022
BD
CRD#: 2091
New York, NY
Past

November 30, 2006 - November 9, 2012

ROCHDALE SECURITIES LLC

BD
CRD#: 6863
STAMFORD, CT
Past

November 8, 2000 - November 27, 2006

CATHAY FINANCIAL INC

BD
CRD#: 30065
NEW YORK, NY
Past

July 9, 1998 - December 5, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 2, 1997 - March 10, 1998

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

October 20, 1993 - June 30, 1997

CATHAY FINANCIAL INC

BD
CRD#: 30065
NEW YORK, NY
Past

February 24, 1992 - December 18, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
New York
(11/26/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/15/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 2/28/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/16/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

OG
OSCAR GRUSS & SON INCORPORATED
CHURCHILL CAPITAL NY | OSCAR GRUSS & SON, INCORPORATED | OSCAR GRUSS & SON INCORPORATED | MAKOR OG NY

CRD#: 2091 / SEC#: , 8-22371

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

Main Address
10 East 53rd Street 17th Floor, New York, NY 10022
Mailing Address
10 East 53rd Street 17th Floor, New York, NY 10022
Phone number
(212) 419-4000
Established
New York since 10/03/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAKOR PARTNERS LIMITEDSHAREHOLDER
ANREDER, LAURA ELLENCHIEF EXECUTIVE OFFICER1325698
LANDAU, DANIELLECHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER / FINOP4671417

Disclosures

Regulatory Event26
Arbitration5
Judgment/Lien13

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

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091New York, NY 10022

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