Barbara R. 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.
Barbara Rochelle Kaplan, who also goes by Barbara Kaplan Israel, Barbara Israel, Barbara R Kaplan, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1980. Barbara had worked at 11 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2007 - December 10, 2008
J.P. TURNER & COMPANY, L.L.C.
July 29, 2004 - October 14, 2005
B. RILEY WEALTH MANAGEMENT
May 14, 2003 - July 31, 2003
ACCESS FINANCIAL GROUP, INC.
April 11, 2003 - May 14, 2003
LADENBURG THALMANN & CO. INC.
February 25, 2003 - April 22, 2003
MAXIM GROUP LLC
February 4, 2003 - February 27, 2003
A. G. EDWARDS & SONS, INC.
July 28, 1999 - February 5, 2003
MORGAN STANLEY DW INC.
December 18, 1998 - May 14, 1999
CIBC WORLD MARKETS CORP.
August 22, 1984 - November 19, 1998
J.P. MORGAN SECURITIES LLC
April 25, 1984 - September 20, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
August 22, 1980 - May 3, 1984
L. F. ROTHSCHILD & CO. 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
Exams
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 6/5/1970
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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