Marc R. Kaplan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marc R Kaplan was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1996. Marc had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2017 - February 15, 2018
VANDHAM SECURITIES CORP.
March 19, 2015 - January 25, 2017
WALLACHBETH CAPITAL LLC
July 8, 2009 - March 11, 2015
BTIG, LLC
August 15, 2006 - August 10, 2007
B. RILEY SECURITIES, INC.
December 19, 2003 - May 10, 2006
MILETUS TRADING, LLC
October 26, 1999 - November 15, 2001
DEUTSCHE IXE, LLC
November 29, 1996 - May 9, 2000
EULAV SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 11/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
VANDHAM SECURITIES CORP.
CRD#: 26258 / SEC#: , 8-42448
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
Red Flags
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