Courtney Kaplin
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.
Courtney Kaplin, who also goes by Courtney Behar, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2013. Courtney had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2014 - February 24, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
April 7, 2014 - February 24, 2020
DELAWARE DISTRIBUTORS, L.P.
August 30, 2013 - January 29, 2014
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
CRD#: 152237 / SEC#: 801-70846
Contact information
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.
