BK
Benjamin S. Kaplan
PROMETHEUM ATS
New York, NY 10005
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CRD#: 6993516
BK
Professional summary
Benjamin Seth Kaplan, who also goes by Ben Kaplan, Benjamin Seth Kaplan, is a registered financial professional currently at PROMETHEUM ATS located in New York, New York and PROMETHEUM EMBER CAPITAL located in New York, New York.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2021. Benjamin has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ben Kaplan | Benjamin Seth 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.
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Seth 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
March 18, 2022 - Present
PROMETHEUM ATS
Office #1: 120 Wall Street 25th Flr, New York, NY 10005BD
CRD#: 311636
New York, NY
Current
May 17, 2023 - Present
PROMETHEUM EMBER CAPITAL
Office #1: 120 Wall Street 25th Floor, New York, NY 10005Office #2: White Plains Plaza 1 North Broadway, White Plains, NY 10601BD
CRD#: 312784
New York, NY
Current
March 27, 2025 - Present
PROFINANCIAL, INC.
Office #1: 120 Wall Street 25th Flr, New York, NY 10005BD
CRD#: 15345
NEW YORK, NY
Past
December 8, 2021 - March 21, 2022
MANORHAVEN CAPITAL LLC
BD
CRD#: 44965
NEW YORK, NY
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
Alabama(5/15/2024)
RR
Alaska(5/15/2024)
RR
Arizona(5/15/2024)
RR
Arkansas(5/15/2024)
RR
California(5/15/2024)
RR
Colorado(5/15/2024)
RR
Connecticut(5/15/2024)
RR
Delaware(5/15/2024)
RR
District of Columbia(5/15/2024)
RR
Florida(5/15/2024)
RR
Georgia(5/15/2024)
RR
Hawaii(5/15/2024)
RR
Idaho(5/15/2024)
RR
Illinois(5/15/2024)
RR
Indiana(5/15/2024)
RR
Iowa(5/15/2024)
RR
Kansas(5/15/2024)
RR
Kentucky(5/15/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/15/2024)
RR
Maryland(5/15/2024)
RR
Massachusetts(5/13/2024)
RR
Michigan(5/15/2024)
RR
Minnesota(5/13/2024)
RR
Mississippi(5/15/2024)
RR
Missouri(5/15/2024)
RR
Montana(5/15/2024)
RR
Nebraska(5/15/2024)
RR
Nevada(5/15/2024)
RR
New Hampshire(5/15/2024)
RR
New Jersey(5/15/2024)
RR
New Mexico(5/15/2024)
RR
New York(5/13/2024)
RR
North Carolina(5/15/2024)
RR
North Dakota(5/15/2024)
RR
Ohio(5/15/2024)
RR
Oklahoma(5/15/2024)
RR
Oregon(5/15/2024)
RR
Pennsylvania(5/15/2024)
RR
Puerto Rico(5/15/2024)
RR
Rhode Island(5/15/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/15/2024)
RR
Tennessee(5/15/2024)
RR
Texas(5/15/2024)
RR
Utah(5/15/2024)
RR
Vermont(5/15/2024)
RR
Virgin Islands(5/15/2024)
RR
Virginia(5/15/2024)
RR
Washington(5/15/2024)
RR
West Virginia(5/15/2024)
RR
Wisconsin(5/15/2024)
RR
Wyoming(5/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/17/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 10/31/2021
General Securities Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PROFINANCIAL, INC.
COLLINS-OGDEN, INC. | PROFINANCIAL, INC. | PROFINANCIAL | OGDEN SECURITIES
CRD#: 15345 / SEC#: , 8-32026
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
120 Wall Street 25th Flr, New York, NY 10005
Mailing Address
120 Wall Street 25th Flr, New York, NY 10005
Phone number
(212) 333-3315
Established
Louisiana since 05/15/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
