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BK

Bernard M. Kaplan

BOFA SECURITIES
SAN DIEGO, CA 92101
CRD#: 6079790
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BK
Bernard M KaplanBOFA SECURITIES

Professional summary

Bernard M Kaplan, who also goes by Bernard Morris Kaplan, Bernard Kaplan V, Bernie M Kaplan, is a registered financial professional currently at BOFA SECURITIES, INC. located in San Diego, California.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 2013. Bernard has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bernard Morris Kaplan | Bernard Kaplan V | Bernie M Kaplan

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 Bernard M 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

November 1, 2022 - Present

BOFA SECURITIES, INC.

Office #1: 701 B St Gbam - Global Corporate Investment Banking, San Diego, CA 92101
RIA
BD
CRD#: 283942
SAN DIEGO, CA
Past

September 14, 2013 - September 13, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, 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".
BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/7/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/31/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/11/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/13/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BOFA SECURITIES, INC.
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.

CRD#: 283942 / SEC#: 801-112640, 8-69787

RIA
Registered Investment Advisory firm - SEC (3/29/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(646) 743-2734
Established
Delaware since 09/01/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
317

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BOFA SECURITIES, INC. RESEARCH SERVICES (3/24/2025)

Direct owners and executive officers

NamePositionCRD#
NB HOLDINGS CORPORATIONSOLE STOCKHOLDER
BHATIA, KASHYAP PCHIEF COMPLIANCE OFFICER / BROKER DEALER6110368
CHEPUCAVAGE, LAURA PDIRECTOR, STATE DESIGNATED PRINCIPAL4672504
GADKARI, SARANG RAJANDIRECTOR2522409
MCQUEEN, MATTHEW CDIRECTOR4204052
MOONEY, SARA RATHBONECHIEF FINANCIAL OFFICER7616382
RAE, GLEN ALEXANDERCHIEF LEGAL OFFICER6300829
SANTANNA, VINCENT C.CHIEF OPERATIONS OFFICER & FINOP5290525
STAGG, JENNIFER CCHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER2597167
ZUBERI, SOOFIAN J JDIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL2372292

Disclosures

Regulatory Event71

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

BOFA SECURITIES, INC.

CRD#: 283942San Diego, CA 92101

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