Michael D. Kaplan

DORSEY, WRIGHT & ASSOCIATES

NEW YORK, NY 10036

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CRD#: 5953575

Professional summary

Michael David Kaplan is a registered financial advisor currently at DORSEY, WRIGHT & ASSOCIATES, LLC located in New York, New York and NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Michael David 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

March 25, 2021 - Present

DORSEY, WRIGHT & ASSOCIATES, LLC

Office #1: 151 West 42nd Street, New York, NY 10036

RIA

CRD#: 104925

NEW YORK, NY

Current

April 7, 2021 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 151 West 42nd Street, New York, NY 10036

CRD#: 104295

New York, NY

Past

August 11, 2020 - December 13, 2021

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270

NEW YORK, NY

Past

February 10, 2016 - August 22, 2016

LPL FINANCIAL LLC

CRD#: 6413

NEW CITY, NY

Past

January 2, 2014 - March 17, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

JERSEY CITY, NJ

Past

May 7, 2012 - January 9, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

WHITE PLAINS, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(3/25/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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Contact information

Main Address

3300 W Leigh Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 320-8511

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 755,135,613

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.

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Firm Stability Insights

Michael D. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NASDAQ CAPITAL MARKETS ADVISORY LLC

NASDAQ EXECUTION SERVICES, LLC

LPL FINANCIAL LLC

VOYA FINANCIAL ADVISORS, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

DORSEY, WRIGHT & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2021

Series 63

Date: 8/11/2012

SIE

Date: 8/22/2016

Series 7

Date: 5/5/2012

FINRA

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DORSEY, WRIGHT & ASSOCIATES, LLC

TRUST BUT VERIFY

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