Ralph M. 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.
Ralph Moss Kaplan was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1968. Ralph had worked at 6 firms and has passed the Series 63, SIE, Series 41, Series 16, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - November 19, 2018
BEECH HILL SECURITIES, INC.
November 1, 2005 - October 2, 2013
BREAN CAPITAL, LLC
October 27, 2004 - November 20, 2018
PENBROOK MANAGEMENT LLC
September 21, 1977 - February 3, 1978
BREAN MURRAY & CO., INC.
October 3, 1974 - March 14, 2006
BREAN MURRAY & CO., INC.
June 26, 1968 - July 15, 1977
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 41
Date: 10/3/1974
NYSE Allied Member ExaminationSeries 1
Date: 6/24/1968
Registered Representative ExaminationSeries 40
Date: 10/3/1974
Registered Principal ExaminationCurrent Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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