Eric 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.
Eric Kaplan was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2003. Eric had worked at 3 firms and has passed the Series 63, SIE 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 14, 2012 - December 22, 2015
SHELLPOINT CAPITAL LLC
April 1, 2003 - September 23, 2011
MORGAN STANLEY & CO. LLC
March 10, 2003 - April 1, 2003
COUNTRYWIDE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
SHELLPOINT CAPITAL LLC
CRD#: 159433 / SEC#: , 8-68987
Contact information
Documents
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.
