BK
Bart S. Kaplow
IBN FINANCIAL SERVICES
Phoenixville, PA
Some features on this profile are disabled
CRD#: 264208
BK
Professional summary
Bart Steven Kaplow, who also goes by Bart Steven Kaplow, Bart S. Kaplow, is a registered financial advisor currently at IBN FINANCIAL SERVICES, INC. located in Phoenixville, Pennsylvania.
Bart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Bart has worked at 9 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bart Steven Kaplow | Bart S. Kaplow
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.
CRS (Client Relationship Summary) - RIA
Click below to view Bart Steven Kaplow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bart Steven Kaplow's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 13, 2017 - Present
IBN FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 42360
Phoenixville, PA
Current
October 5, 2017 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Past
July 7, 2003 - October 13, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
PHOENIXVILLE, PA
Past
June 25, 2003 - October 13, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
PHOENIXVILLE, PA
Past
January 31, 1982 - January 6, 2004
CAPITAL STRATEGIES LIMITED
BD
CRD#: 10253
PHILADELPHIA, PA
Past
February 26, 1980 - December 8, 1981
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
November 14, 1978 - October 11, 1983
LINCOLN INVESTMENT
BD
CRD#: 519
Past
April 7, 1975 - March 11, 1980
OSAIC FS, INC.
BD
CRD#: 3870
Past
July 25, 1973 - May 3, 1975
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
Past
September 19, 1972 - September 1, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
Past
August 6, 1971 - October 1, 1972
BAYLIN ADVISORS, INC.
BD
CRD#: 2643
Past
January 2, 1970 - July 29, 1971
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/6/2017)
RR
New Jersey(10/5/2017)
IAR
New Jersey(10/16/2017)
RR
Pennsylvania(10/10/2017)
IAR
Pennsylvania(6/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/26/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088
Mailing Address
P.o. Box 2365, Liverpool, NY 13089
Phone number
(315) 652-4426
Established
New York since 12/15/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
79
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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.
