Lorne J. Caplan
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.
Lorne Joel Caplan was a registered financial professional .
Lorne is a previously registered financial professional and started their career in finance in 1994. Lorne had worked at 5 firms and has passed the Series 63, Series 7 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 9, 2001 - February 22, 2002
BREAN MURRAY & CO., INC.
April 2, 1999 - April 16, 2001
TRADE.COM ONLINE SECURITIES, INC.
November 14, 1996 - April 21, 1999
SSC NY CORP.
July 2, 1996 - November 19, 1996
LADENBURG THALMANN & CO. INC.
September 21, 1994 - August 24, 1995
MARLEAU LEMIRE (U.S.A.), 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
Current Firm
BREAN MURRAY & CO., INC.
CRD#: 7541 / SEC#: , 8-17820
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMI HOLDING CORP. | PARENT HOLDING COMPANY | |
| BAILEY, JOSEPH ARTHUR | COMPLIANCE DIRECTOR | |
| BARON, JEROME SEYMOUR | VICE CHAIRMAN/MANAGING DIRECTOR | 13158 |
| FIELDS, NORMAN CHARLES | SHARE HOLDER | 207355 |
| HERMAN, MELVIN STEVE | CHIEF OPERATING OFFICER | 1867613 |
| KIRSCH, KENNETH JOHN II | CHIEF FINANCIAL OFFICER | 1671480 |
| MCCLUSKEY, WILLIAM JAMES | PRESIDENT & CEO | |
| MURRAY, BETTINA PATTERSON | CHAIRMAN |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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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