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SK

Steven A. Kaplan

Some features on this profile are disabled
CRD#: 5251885
SK

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.

Steven Arthur Kaplan was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2006. Steven had worked at 10 firms and has passed the Series 57TO, SIE, Series 56, Series 14 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 22, 2011 - January 17, 2014

LUPO FUTURES, LLC

BD
CRD#: 155931
CHICAGO, IL
Past

January 14, 2011 - December 11, 2013

V. DERIVATIVES, LLC

BD
CRD#: 151893
CHICAGO, IL
Past

January 14, 2011 - March 2, 2015

MUSTANG TRADING, LLC

BD
CRD#: 131608
CHICAGO, IL
Past

January 14, 2011 - September 1, 2016

TORO CAPITAL MANAGEMENT LLC

BD
CRD#: 145696
CHICAGO, IL
Past

January 14, 2011 - February 6, 2024

IMC SECURITIES LLC

BD
CRD#: 144874
CHICAGO, IL
Past

November 1, 2010 - October 3, 2011

VINTAGE CAPITAL LLC

BD
CRD#: 128717
CHICAGO, IL
Past

January 26, 2010 - January 11, 2011

EPIC TRADING INC.

BD
CRD#: 150720
FRANKFORT, IL
Past

June 17, 2008 - May 3, 2010

PRECISION CAPITAL LLC

BD
CRD#: 145583
CHICAGO, IL
Past

March 4, 2008 - November 1, 2010

TORO CAPITAL MANAGEMENT LLC

BD
CRD#: 145696
CHICAGO, IL
Past

March 4, 2008 - November 1, 2010

IMC SECURITIES LLC

BD
CRD#: 144874
CHICAGO, IL
Past

January 30, 2007 - April 23, 2007

HORATIO CAPITAL LLC

BD
CRD#: 132142
CHICAGO, IL
Past

December 6, 2006 - December 11, 2013

LUPO SECURITIES, LLC

BD
CRD#: 43761
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 9/16/2011
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/28/2011
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/5/2006
Financial and Operations Principal Examination

Current Firm

LF
LUPO FUTURES, LLC
LUPO FUTURES, LLC | WSP COMMODITY TRADING LLC

CRD#: 155931 / SEC#: , 8-68755

BD
Terminated by SEC on 07/02/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 08/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFREY A. WOLFSON BLIND TRUSTCLASS A MEMBER
BELL, CAROL JEANTRUSTEE OF JEFFREY A. WOLFSON BLIND TRUST2567962
STAUDER, JOSEPH LLOYDCHIEF COMPLIANCE OFFICER3177027
WOLFSON, MARK DAVIDMANAGING MEMBER5974649

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

LUPO FUTURES, LLC

CRD#: 155931

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