Adam H. 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.
Adam Harold Kaplan, who also goes by Adam H Kaplan, Adam Kaplan, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1994. Adam had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2000 - April 5, 2001
MASON HILL & CO., INC.
January 30, 1997 - April 26, 2000
MASON HILL & CO., INC.
September 27, 1996 - February 13, 1997
CONTINENTAL BROKER-DEALER CORP.
October 27, 1994 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
May 11, 1994 - August 4, 1994
JOSEPH STEVENS & CO., INC.
May 11, 1994 - November 2, 1994
LT LAWRENCE & CO., 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
MASON HILL & CO., INC.
CRD#: 38308 / SEC#: , 8-48178
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
