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MK

Michael D. Kaplan

NASDAQ CAPITAL MARKETS ADVISORY LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 5953575
MK

Professional summary

Michael David Kaplan is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York.

Michael is registered as a 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"?
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 Michael David Kaplan's 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

April 7, 2021 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 151 West 42nd Street, New York, NY 10036
BD
CRD#: 104295
New York, NY
Past

March 25, 2021 - December 31, 2025

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA
CRD#: 104925
NEW YORK, NY
Past

August 11, 2020 - December 13, 2021

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

February 10, 2016 - August 22, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW CITY, NY
Past

January 2, 2014 - March 17, 2014

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
JERSEY CITY, NJ
Past

May 7, 2012 - January 9, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WHITE PLAINS, NY

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
IAR
Series 65
Date: 3/23/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/11/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

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

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295New York, NY 10036

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