Philip J. Kaplan
Professional summary
Philip Jay Kaplan is a registered financial professional currently at HURON TRANSACTION ADVISORY LLC located in Chicago, Illinois.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1992. Philip has worked at 7 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 50, Series 52, Series 7 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Jay Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2021 - Present
HURON TRANSACTION ADVISORY LLC
Office #1: 550 West Van Buren Street, Suite 1700, Chicago, IL 60607May 20, 2016 - March 2, 2021
H2C SECURITIES INC.
August 24, 2009 - May 22, 2014
WELLS FARGO SECURITIES, LLC
August 26, 2008 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
February 22, 2006 - July 1, 2008
GOLDMAN SACHS & CO. LLC
October 14, 2002 - March 4, 2006
CITIGROUP GLOBAL MARKETS INC.
September 1, 1992 - June 29, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/1/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HURON TRANSACTION ADVISORY LLC
CRD#: 166959 / SEC#: , 8-69237
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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