Craig 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.
Craig Robert Kaplan was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2000. Craig had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 82, Series 31 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
June 28, 2018 - October 9, 2018
NEWOAK CAPITAL MARKETS LLC
October 24, 2005 - April 17, 2006
QUELLOS FUND SERVICES, LLC
July 14, 2005 - April 17, 2006
QUELLOS PRIVATE CAPITAL MARKETS, L.P.
October 3, 2003 - March 15, 2004
QUELLOS FIXED INCOME ADVISORS LLC
October 3, 2003 - April 17, 2006
QUELLOS CAPITAL MANAGEMENT LP
October 3, 2003 - October 24, 2005
CFT SECURITIES, LLC
October 29, 2002 - April 25, 2003
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
October 9, 2000 - October 16, 2001
PERSHING 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
Current Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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