Scott K. Kaplan
Professional summary
Scott Keith Kaplan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Scott had worked at 7 firms, which includes SOURCE CAPITAL GROUP INC., FINANCIAL WEST GROUP, VALLEY FORGE SECURITIES INC ., CYBERVEST SECURITIES INC., HORNBLOWER & WEEKS INC., ITRADEDIRECT.COM CORP, BRIARWOOD INVESTMENT COUNSEL.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2001 - June 11, 2002
SOURCE CAPITAL GROUP, INC.
September 20, 2001 - December 13, 2001
FINANCIAL WEST GROUP
April 18, 2001 - November 12, 2001
VALLEY FORGE SECURITIES, INC .
February 24, 2000 - May 9, 2001
CYBERVEST SECURITIES INC.
January 8, 1999 - February 11, 2000
HORNBLOWER & WEEKS, INC.
May 1, 1998 - January 7, 1999
ITRADEDIRECT.COM CORP
October 31, 1997 - March 12, 1998
BRIARWOOD INVESTMENT COUNSEL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 8/25/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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