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MK

Matthew S. Kaplan

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CRD#: 2714169
MK

Professional summary

Matthew Samuel Kaplan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Matthew is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Matthew had worked at 4 firms, which includes SOLEIL SECURITIES CORPORATION, FM PARTNERS HOLDINGS LLC, LAZARD FRERES & CO. LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matt Kaplan | Matthew S Kaplan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 28, 2006 - May 15, 2007

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

May 6, 2005 - January 9, 2006

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

January 9, 1998 - May 10, 2005

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

October 3, 1996 - November 7, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/1996
General Securities Representative Examination

Current Firm

SS
SOLEIL SECURITIES CORPORATION
SOLEIL SECURITIES CORPORATION

CRD#: 124737 / SEC#: , 8-65719

BD
Terminated by SEC on 12/25/2011
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/21/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TICONDEROGA SECURITIES LLCPARENT COMPNAY7671
FERRARIE, DANTE FRANCIS MR.MANAGING DIRECTOR HEAD OF EQUITIES2003018
MARQUEZ, CYNTHIA ELIZABETHCONTROLLER2836798
SCAMBIA, ELLEN MARIECHIEF FINANCIAL OFFICER1320993
SULFARO, MICHAEL CARLEXECUTIVE REPRESENTATIVE, CHIEF COMPLIANCE OFFICER2483562

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.

Company Information

SOLEIL SECURITIES CORPORATION

CRD#: 124737

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