Martin A. 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.
Martin Allen Kaplan was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1997. Martin had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2002 - July 23, 2002
PLATINUM INVESTMENT CORP.
August 29, 2001 - November 4, 2002
ITRADEDIRECT.COM CORP
May 3, 2000 - August 10, 2000
NATIONAL PLANNING CORPORATION
June 18, 1999 - May 12, 2000
OSAIC FS, INC.
November 5, 1997 - June 29, 1999
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLATINUM INVESTMENT CORP.
CRD#: 107211 / SEC#: , 8-53034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RDC, INC. | OWNER/SHAREHOLDER | |
| ANTONUCCI, DOMINIC | PRESIDENT/SROP/CROP | 3215807 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
