Michael 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.
Michael Kaplan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 7 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
December 20, 2017 - August 3, 2018
REALTA EQUITIES, INC.
January 26, 2017 - October 20, 2017
GARDEN STATE SECURITIES, INC.
February 8, 2016 - June 15, 2016
KOVACK SECURITIES INC.
December 20, 2012 - January 20, 2016
NATIONAL SECURITIES CORPORATION
March 13, 2012 - December 6, 2012
AEGIS CAPITAL CORP.
September 10, 2010 - March 20, 2012
JOSEPH GUNNAR & CO. LLC
February 15, 2010 - September 10, 2010
CHARLES VISTA LLC
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
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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