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AK

Aaron L. Kaplan

PROMETHEUM EMBER CAPITAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 5326130
AK

Professional summary

Aaron L Kaplan is a registered financial professional currently at PROMETHEUM EMBER CAPITAL located in New York, New York and PROFINANCIAL, INC. located in New York, New York.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2007. Aaron has worked at 4 firms and has passed the Series 63, Series 79TO, Series 7TO, Series 55, Series 7, Series 27, Series 24, Series 4 and Series 53 exams.

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) - BD

Click below to view Aaron L Kaplan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 8, 2025 - Present

PROMETHEUM EMBER CAPITAL

Office #1: 120 Wall Street 25th Floor, New York, NY 10005
BD
CRD#: 312784
New York, NY
Current

November 12, 2025 - Present

PROFINANCIAL, INC.

Office #1: 120 Wall Street 25th Flr, New York, NY 10005
BD
CRD#: 15345
NEW YORK, NY
Past

October 14, 2009 - December 18, 2009

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

June 4, 2007 - September 11, 2008

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
LAKE MARY, FL

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

State Security Law Exam
RR
Series 63
Date: 6/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/24/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/26/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 5/6/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/1/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/4/2008
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/10/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/10/2007
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA

Current Firm

PI
PROFINANCIAL, INC.
COLLINS-OGDEN, INC. | PROFINANCIAL, INC. | PROFINANCIAL | OGDEN SECURITIES

CRD#: 15345 / SEC#: , 8-32026

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

Main Address
120 Wall Street 25th Flr, New York, NY 10005
Mailing Address
120 Wall Street 25th Flr, New York, NY 10005
Phone number
(212) 333-3315
Established
Louisiana since 05/15/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PROMETHEUM INCMINORITY OWNER
BECKERMAN, JARREDFINOP6683745
FANELLI, ROSEMARIECHIEF OPERATING OFFICER7463196
KAPLAN, BENJAMINCEO6993516
KITCHIN, KENNETH JOHNCHIEF COMPLIANCE OFFICER/AMLCO6748676

Disclosures

Regulatory Event1

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

PROFINANCIAL, INC.

CRD#: 15345New York, NY 10005

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