Robert Lewis Kaplon
Professional Summary
Robert Lewis Kaplon is a registered financial advisor currently at J.H. DARBIE & CO., INC. located in Florham Park, New Jersey. Robert is registered as a RR (Registered Representative) and started their career in finance in 1967. Robert has worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 28, Series 24 and Series 4 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
59 years in the financial services industry
Current & Past Employments
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Current Firm
J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY
Contact Information
Main Address
48 Wall St., Suite 1206. Suite 1206, New York, NY 10005Mailing Address
48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005Phone Number
(212) 269-7271Established
New York since 06/03/1997Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
5FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
5AUM (Assets Under Management)
$6,146,829Disclosures
Regulatory Event
10Civil Event
1Arbitration
1Similar Advisors
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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
(5/22/2023)
(6/13/2023)
(6/14/2023)
(6/9/2023)
(6/14/2023)
(6/12/2023)
(8/28/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Feb 1967Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 1991About the Series 28 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Lewis Kaplon's CRS (Customer Relationship Summary).
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