Robert L. Kaplon
Professional summary
Robert Lewis Kaplon is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Lewis Kaplon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2023 - Present
J.H. DARBIE & CO., INC.
Office #1: 215 Ridgedale Ave Ste 104, Florham Park, NJ 07932July 13, 1988 - December 22, 2023
KENNETH, JEROME & CO.,INC.
August 5, 1986 - July 9, 1988
DOLAN & PITCHER, INC.
October 1, 1985 - July 21, 1986
GRUNTAL & CO., L.L.C.
February 8, 1967 - October 1, 1985
JII SECURITIES 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
(5/22/2023)
(6/12/2023)
(6/13/2023)
(6/14/2023)
(6/9/2023)
(6/14/2023)
(6/12/2023)
(8/28/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 2/6/1967
Registered Representative ExaminationSeries 28
Date: 8/21/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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