Donald S. 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.
Donald Stanley Kaplan, who also goes by Don Kaplan, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1993. Donald had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
May 2, 2003 - July 22, 2016
PROTECTED INVESTORS OF AMERICA
November 16, 2001 - May 7, 2003
USALLIANZ SECURITIES, INC.
September 6, 2001 - May 7, 2003
USALLIANZ SECURITIES, INC.
February 4, 2000 - August 23, 2001
PENSION PLANNERS SECURITIES, INC.
January 28, 1998 - February 14, 2000
FSC SECURITIES CORPORATION
October 21, 1993 - January 21, 1998
SIFE
May 5, 1993 - July 28, 1993
NATIONAL PLANNING CORPORATION
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
Current Firm
PROTECTED INVESTORS OF AMERICA
CRD#: 6082 / SEC#: 801-10299, 8-218
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARMSTEAD FAMILY TRUST UA DTD | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | CHAIRMAN | 1048109 |
| BUCHFINCK, RITA KAY | SHAREHOLDER | 869008 |
| DREIZLER FAMILY TRUST | SHAREHOLDER | |
| FORD, IRVING MARTYN | SHAREHOLDER | 211057 |
| KOBE FAMILY TRUST (DATED 11-22-2004) | SHAREHOLDER | |
| NASSTROM TRUST | SHAREHOLDER | |
| ARMSTEAD, JOHN THOMAS | TRUSTEE OF ARMSTEAD FAMILY TRUST UA DTD | 1048109 |
| CALVELLI, MICHAEL J | DIRECTOR | 1237708 |
| DREIZLER, ROBERT LAURIE | TRUSTEE OF DREIZLER FAMILY TRUST | 867308 |
| DREIZLER, SONYA BROOKE | PRESIDENT / CEO / FINOP | 4754721 |
| JOHNSON, HEIDI ANN | CHIEF COMPLIANCE OFFICER | 2443764 |
| KOBE, DAVID HOWARD | TRUSTEE OF KOBE FAMILY TRUST (DATED 11-22-2004) | |
| KOBE, DAVID HOWARD | DIRECTOR/TREASURER | 1052144 |
| NASSTROM, SHARON SOLOMON | DIRECTOR/SECRETARY | 2898387 |
| NASSTROM, SHARON SOLOMON | TRUSTEE OF NASSTROM TRUST | 2898387 |
| RUST, MARGARET RUBEY | DIRECTOR | 2282941 |
| TUEMMLER, LISA DENISE | DIRECTOR | 4642373 |
Disclosures
| Regulatory Event | 2 |
| Bond | 1 |
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.
