Mark W. Kaplowitz
Professional summary
Mark William Kaplowitz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark William Kaplowitz was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1996. Mark had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2011 - May 17, 2011
HARRISON DOUGLAS, INC.
June 22, 2006 - December 31, 2011
FINANCIAL PLANNING ASSOCIATES,INC.
December 18, 2004 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
April 28, 2004 - December 16, 2004
THE INVESTMENT CENTER, INC.
June 23, 2000 - December 16, 2004
THE INVESTMENT CENTER, INC.
January 11, 1999 - June 29, 2000
SII INVESTMENTS, INC.
February 13, 1997 - January 25, 1999
THE INVESTMENT CENTER, INC.
September 16, 1996 - March 13, 1997
GATEWAY FINANCIAL AGENCY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HARRISON DOUGLAS, INC.
CRD#: 16515 / SEC#: , 8-34070
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
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