Nason Kaplan

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CRD#: 264141

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.

Nason Kaplan was a registered financial professional .

Nason is a previously registered financial professional and started their career in finance in 1970. Nason had worked at 16 firms and has passed the Series 63, Series 55, Series 1, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 9, 2012 - April 2, 2013

AGILE PT GROUP LLC

CRD#: 155177

NEW YORK, NY

Past

April 29, 2009 - January 3, 2012

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

December 5, 2002 - May 3, 2004

UPHOLD SECURITIES INC.

CRD#: 34071

NEW YORK, NY

Past

June 11, 2002 - December 12, 2002

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 28, 1999 - August 27, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

November 21, 1994 - June 30, 1999

NORTH AMERICAN INSTITUTIONAL BROKERS

CRD#: 20574

FT. LAUDERDALE, FL

Past

May 27, 1993 - December 6, 1993

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

August 23, 1989 - July 11, 1991

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

January 1, 1989 - August 3, 1989

COPELAND WILEY SECURITIES INC.

CRD#: 21247

Past

April 26, 1984 - January 16, 1987

GEEK SECURITIES, INC.

CRD#: 14834

Past

September 16, 1977 - May 11, 1983

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

June 5, 1974 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

Past

May 26, 1971 - July 13, 1974

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

October 12, 1970 - June 6, 1971

DUPONT WALSTON, INCORPORATED

CRD#: 870

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 9/2/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 1

Date: 12/8/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/6/1984

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/1984

General Securities Principal Examination

Current Firm

AGILE PT GROUP LLC

AGILE PT GROUP LLC | TRINITY PRO TRADING, LLC | AGLIE PT GROUP LLC

CRD#: 155177 / SEC#: , 8-68702

Terminated by SEC on 12/23/2013

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 09/28/2010

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AGML LLC	MEMBER
BARRA, ROGER JOHN	CCO	1703322
HAGAN, LEONARD ALLAN	FINOP	2582328

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Nason Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

G-2 TRADING,LLC

UPHOLD SECURITIES INC.

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

NORTH AMERICAN INSTITUTIONAL BROKERS

BLUESTONE CAPITAL CORP.

FIRST NEW YORK SECURITIES L.L.C.

COPELAND WILEY SECURITIES INC.

GEEK SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

REYNOLDS SECURITIES, INC.

DUPONT WALSTON, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1984

Series 55

Date: 9/2/1999

Series 1

Date: 12/8/1969

Series 4

Date: 7/6/1984

Series 24

Date: 3/21/1984

Current Firm

AGILE PT GROUP LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AGILE PT GROUP LLC

TRUST BUT VERIFY

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