Ellen R. Kaplan

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CRD#: 3105797

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.

Ellen R Kaplan was a registered financial professional .

Ellen is a previously registered financial professional and started their career in finance in 2007. Ellen had worked at 3 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 26, 2015 - December 31, 2016

LEXION CAPITAL MANAGEMENT LP

RIA

CRD#: 153273

NEW YORK, NY

Past

April 2, 2007 - November 2, 2010

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

April 2, 2007 - November 2, 2010

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEXION CAPITAL MANAGEMENT LP

ELEVATED CAPITAL MANAGEMENT LLC | LEXION CAPITAL MANAGEMENT LP | LEXION CAPITAL MANAGEMENT LLC

CRD#: 153273 / SEC#: 801-73003

RIA

Registered Investment Advisory firm - (1/11/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/10/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 5/31/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/31/2007

General Securities Representative Examination

Current Firm

LEXION CAPITAL MANAGEMENT LP

ELEVATED CAPITAL MANAGEMENT LLC | LEXION CAPITAL MANAGEMENT LP | LEXION CAPITAL MANAGEMENT LLC

CRD#: 153273 / SEC#: 801-73003

RIA

Registered Investment Advisory firm - (1/11/2012 Approved)

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Contact information

Main Address

41 Madison Ave 31st Floor, New York, NY 10010

Mailing Address

Phone number

(888) 452-9355

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEXION CAPITAL MANAGEMENT LP (3/21/2025)

Regulatory assets under management

Total Number of Accounts	182
AUM (Assets Under Management)	$ 84,701,370

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.

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Ellen R. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEXION CAPITAL MANAGEMENT LP

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

LEXION CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2007

Series 31

Date: 5/31/2007

Series 7

Date: 3/31/2007

Current Firm

LEXION CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEXION CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

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