David 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.
David Kaplan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1971. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 1, Series 27, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2012 - November 22, 2013
EMPIRE STATE FINANCIAL, INC.
August 13, 1985 - June 10, 1991
H. STARR FINANCIAL CORP.
February 28, 1985 - November 6, 1986
M. RIMSON & CO., INC.
January 30, 1985 - July 15, 1985
GLADSTONE SECURITIES, INC.
March 29, 1971 - December 9, 2015
EMPIRE STATE FINANCIAL, 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
Series 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 4/14/1969
Registered Representative ExaminationSeries 00
Date: 2/22/1971
General Securities Principal ExaminationCurrent Firm
EMPIRE STATE FINANCIAL, INC.
CRD#: 5657 / SEC#: , 8-16309
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
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.
