Scott M. Kaplan
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.
Scott M. Kaplan, who also goes by Scott M Kaplan, Scott Michael Kaplan, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2000 - April 3, 2025
UPHOLD SECURITIES INC.
February 18, 2000 - February 22, 2000
TIJA MANAGEMENT, INC.
July 14, 1994 - October 9, 1995
SCHRODER & CO. INC.
June 8, 1993 - June 28, 1994
ROSENBLATT SECURITIES INC.
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: 1/2/2023
Operations Professional ExaminationSeries 25
Date: 11/18/1999
NYSE Trading Assistant ExaminationCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
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.
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