Matthew S. Kaplan
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2006 - May 15, 2007
SOLEIL SECURITIES CORPORATION
May 6, 2005 - January 9, 2006
FM PARTNERS HOLDINGS LLC
January 9, 1998 - May 10, 2005
LAZARD FRERES & CO. LLC
October 3, 1996 - November 7, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
SOLEIL SECURITIES CORPORATION
CRD#: 124737 / SEC#: , 8-65719
Contact information
Documents
Direct owners and executive officers
Red Flags
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