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MK

Michael L. Kaplan

AMG DISTRIBUTORS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4826171
MK

Professional summary

Michael Lawrence Kaplan, CIMA®, who also goes by Michael L Kaplan, Mike Kaplan, is a registered financial professional currently at AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael L Kaplan | Mike Kaplan

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) - BD

Click below to view Michael Lawrence Kaplan's CRS (Customer Relationship Summary).

Certified licenses

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

Certified Investment Management Analyst

Experience

Current

August 22, 2019 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901
BD
CRD#: 27314
Stamford, CT
Past

November 15, 2017 - July 9, 2019

JLT CAPITAL PARTNERS LLC

BD
CRD#: 158345
NAPLES, FL
Past

June 7, 2016 - September 30, 2016

NEWFOUND RESEARCH LLC

RIA
CRD#: 159064
BOSTON, MA
Past

October 21, 2015 - September 30, 2016

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

June 17, 2010 - August 20, 2015

AMG FUNDS LLC

RIA
CRD#: 153456
STAMFORD, CT
Past

May 10, 2006 - June 18, 2010

AMG DISTRIBUTORS, INC.

RIA
CRD#: 27314
BOSTON, MA
Past

May 10, 2006 - August 20, 2015

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

October 22, 2004 - May 1, 2006

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

September 3, 2004 - May 1, 2006

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(8/22/2019)
RR
Massachusetts
(8/22/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AMG DISTRIBUTORS, INC.
333 GLOBAL ADVISERS | THE MANAGERS FUNDS LLC | THE MANAGERS FUNDS L.P. | THE MANAGERS FUNDS | MANAGERSCHOICE | MANAGERS INVESTMENT GROUP LLC | MANAGERS DISTRIBUTORS, INC. | MANAGERS AMG FUNDS | EAIMC PARTNERS L.P. | AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Mailing Address
680 Washington Blvd Suite 500, Stamford, CT 06901
Phone number
(203) 299-3500
Established
Delaware since 12/29/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMG FUNDS LLCSOLE SHAREHOLDER153456
GALIS, AARONDIRECTOR7333959
HOPKINS, THOMAS JOHNPRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP1835087
JACOBS ANTONACCIO, RACHEL ELIZABETHHEAD OF CLIENT SOLUTIONS AND PRINCIPAL3189490
KINNE, KEITHA LEEPRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER2039630
SPELLMAN, PATRICK JOSEPHCHIEF COMPLIANCE OFFICER3086822

Disclosures

Regulatory Event2

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.

Company Information

AMG DISTRIBUTORS, INC.

CRD#: 27314Stamford, CT 06901

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