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DK

Daniel Kaplansky

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CRD#: 2023667
DK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Kaplansky was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2014 - December 15, 2015

MERUS CAPITAL PARTNERS, LLC

BD
CRD#: 158884
NEW YORK, NY
Past

February 12, 2013 - January 28, 2014

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

January 7, 2009 - January 14, 2013

QUAD CAPITAL, LLC

BD
CRD#: 148927
NEW YORK, NY
Past

December 21, 2007 - December 31, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK CITY, NY
Past

January 3, 2007 - December 17, 2007

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

September 7, 2006 - December 19, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

January 21, 2003 - August 2, 2006

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

October 4, 2002 - August 2, 2006

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
NEW YORK, NY
Past

September 9, 2002 - September 17, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 24, 1990 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/9/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/11/1999
General Securities Principal Examination

Current Firm

MC
MERUS CAPITAL PARTNERS, LLC
MERUS CAPITAL PARTNERS, LLC

CRD#: 158884 / SEC#: , 8-68937

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/15/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERUS CAPITAL GROUP LLCMEMBER
ALTER, IRINACCO5988457
BORRELLI, ALAN PASQUALECFO2655912
JUNG, CHARLES CHANDIRECTOR OF OPERATIONS4777355

Disclosures

Regulatory Event1

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

MERUS CAPITAL PARTNERS, LLC

CRD#: 158884

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