Joshua I. Kaplan
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.
Joshua Isaac Kaplan, who also goes by Josh I Kaplan, Josh Kaplan, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2010. Joshua had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2017 - April 14, 2022
ETFMG FINANCIAL LLC
December 15, 2015 - March 31, 2017
ALPS DISTRIBUTORS, INC.
December 26, 2014 - October 27, 2015
ESPOSITO SECURITIES, LLC
July 25, 2012 - April 1, 2013
WTS PROPRIETARY TRADING GROUP LLC
January 1, 2010 - August 30, 2010
ECHOTRADE LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ETFMG FINANCIAL LLC
CRD#: 284172 / SEC#: , 8-69792
Contact information
Documents
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.
