Ralph Moss Kaplan
Professional Summary
Ralph Moss Kaplan was a registered financial advisor. Ralph was a previously registered financial professional and started their career in finance 1968 - 2018. Ralph had worked at 6 firms and has passed the Series 63, SIE, Series 41, Series 16, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
BEECH HILL SECURITIES, INC. | CANTOR, WEISS & FRIEDNER, INC. | CANTOR & WEISS, INC. | BH INDEPENDENT ADVISOR SOLUTIONS
Contact Information
Main Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730Mailing Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730Phone Number
(212) 350-7200Established
New York since 05/12/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed Oct 1974Series 1 — Registered Representative Examination
Passed Jun 1968Series 40 — Registered Principal Examination
Passed Oct 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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