Michael H. Kaplan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Harris Kaplan, who also goes by Mike Kaplan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 7 firms and has passed the Series 63, SIE and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1992 - July 6, 2015
ICBA SECURITIES
January 1, 1991 - July 6, 2015
VINING-SPARKS IBG, LLC
March 5, 1986 - January 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
November 16, 1983 - October 9, 1984
BRENNER STEED, INC.
November 8, 1979 - December 22, 1981
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 2, 1978 - December 5, 1979
G. WEEKS & CO., INC.
May 8, 1978 - May 15, 1978
UMIC, INC.
February 3, 1977 - May 3, 1978
G. WEEKS & CO., INC.
November 1, 1976 - December 31, 1976
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 40
Date: 10/22/1976
Registered Principal ExaminationCurrent Firm
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
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.
