MK
Mark D. Kaplan
WORLD EQUITY GROUP
Chesterfield, MO
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CRD#: 6710147
MK
Professional summary
Mark D Kaplan, who also goes by Mark Daniel Kaplan, Mark Kaplan, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Chesterfield, Missouri.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Daniel Kaplan | Mark 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.
1. Wright Insurance Planning; Yes, Investment related; Address: 182 Marcrest Dr, Chesterfield, MO 63017; Nature of OBA: Life Insurance Business; Pos/Title: Producer; Start Date: 02/03/2025; Approx Hrs/Mth for OBA: 8 Hrs; Approx Hrs/Mth during trading Hrs for OBA: 8 Hrs; Duties: Insurance Business producer.
CRS (Client Relationship Summary) - RIA
Click below to view Mark D Kaplan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark D 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®
NoneExperience
Current
February 11, 2025 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Chesterfield, MO
Current
February 11, 2025 - Present
WORLD EQUITY GROUP, INC.
Office #1: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173Office #2: 50 Randelay Dr, St. Louis, MO 63124RIA
BD
CRD#: 29087
Schaumburg, IL
Past
July 29, 2024 - January 31, 2025
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
Saint Louis, MO
Past
May 6, 2024 - January 31, 2025
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Saint Louis, MO
Past
March 8, 2021 - February 1, 2024
COMPASS RETIREMENT GROUP LLC
RIA
CRD#: 282420
ST. LOUIS, MO
Past
August 5, 2017 - January 28, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MEMPHIS, TN
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
IAR
Missouri(2/11/2025)
RR
Missouri(2/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/12/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
