Alexander V. Kaplin
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.
Alexander V. Kaplin, who also goes by Alexander Kaplan, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2000. Alexander had worked at 7 firms and has passed the Series 66 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
August 22, 2011 - May 1, 2012
AKAP, LLC
April 23, 2009 - August 13, 2009
SEG CAPITAL L.L.C.
December 5, 2007 - December 1, 2010
ADVANCED TRADING PARTNERS, LLC
October 22, 2003 - June 29, 2007
SUSQUEHANNA SECURITIES, LLC
September 9, 2003 - June 29, 2007
SUSQUEHANNA INVESTMENT GROUP
February 21, 2002 - May 3, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 22, 2000 - July 10, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
AKAP, LLC
CRD#: 154218 / SEC#: , 8-68617
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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