Russel 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.
Russel Kaplan, who also goes by Russ Kaplan, was a registered financial professional .
Russel is a previously registered financial professional and started their career in finance in 1997. Russel had worked at 7 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - May 14, 2012
QUAD CAPITAL, LLC
September 15, 2010 - September 30, 2011
ECHOTRADE LLC
August 29, 2006 - August 25, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
May 1, 2006 - August 30, 2006
G-2 TRADING,LLC
February 4, 1999 - May 3, 2001
RUMSON CAPITAL, LLC
October 27, 1998 - February 11, 1999
WORLDCO, L.L.C.
October 16, 1997 - September 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
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
Series 55
Date: 5/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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