Courtney M. Kaplan
Professional summary
Courtney Michelle Kaplan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Courtney is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Courtney had worked at 8 firms, which includes LPL FINANCIAL LLC, WELLS FARGO CLEARING SERVICES LLC, CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, SYNOVUS SECURITIES INC., W&S BROKERAGE SERVICES INC., BB&T INVESTMENT SERVICES INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2019 - July 22, 2021
LPL FINANCIAL LLC
March 11, 2019 - July 22, 2021
LPL FINANCIAL LLC
July 3, 2017 - March 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2017 - March 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 26, 2016 - July 3, 2017
CETERA INVESTMENT ADVISERS LLC
April 13, 2016 - July 3, 2017
CETERA INVESTMENT SERVICES LLC
December 2, 2015 - April 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2015 - April 4, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2014 - November 13, 2015
SYNOVUS SECURITIES, INC.
December 10, 2014 - November 13, 2015
SYNOVUS SECURITIES, INC.
October 3, 2013 - December 9, 2014
W&S BROKERAGE SERVICES, INC.
April 18, 2013 - September 6, 2013
BB&T INVESTMENT SERVICES, INC.
October 2, 2012 - September 6, 2013
BB&T INVESTMENT SERVICES, INC.
March 19, 2007 - October 4, 2012
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
