Mark E. Kaplan
Professional summary
Mark Eliot Kaplan, who also goes by Mark E Kaplan, Mark Elliot Kaplan, is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 7 firms and has passed the Series 99TO, Series 57TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Eliot Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2025 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022March 29, 2023 - April 11, 2025
CF SECURED, LLC
June 13, 2018 - May 27, 2020
CFWP SECURITIES, LLC
February 12, 2018 - April 11, 2025
CANTOR FITZGERALD & CO.
August 4, 2004 - December 18, 2006
COWEN AND COMPANY
April 23, 2004 - July 27, 2017
SG AMERICAS SECURITIES, LLC
January 22, 2003 - April 26, 2004
COWEN AND COMPANY
February 3, 2000 - July 16, 2001
CIBC WORLD MARKETS CORP.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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