Stanley M. 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.
Stanley M Kaplan, who also goes by Stanley Martin Kaplan, Stanley M Kaplan, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1979. Stanley had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2019 - May 11, 2023
SW FINANCIAL
September 20, 2019 - October 29, 2019
JOSEPH GUNNAR & CO. LLC
August 25, 2016 - June 29, 2018
WESTPARK CAPITAL, INC.
March 25, 2015 - August 26, 2016
NEWPORT COAST SECURITIES, INC.
October 18, 2012 - March 30, 2015
STONEX SECURITIES INC.
February 17, 2009 - October 18, 2012
NEWBRIDGE SECURITIES CORPORATION
November 27, 2001 - February 18, 2009
WESTMINSTER FINANCIAL SECURITIES, INC.
May 17, 1994 - November 29, 2001
MOORS & CABOT, INC.
July 31, 1993 - May 23, 1994
CITIGROUP GLOBAL MARKETS INC.
June 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
November 24, 1986 - June 23, 1992
TUCKER ANTHONY INCORPORATED
May 7, 1979 - November 28, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 7, 1979 - December 3, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
May 7, 1979 - December 3, 1986
IDS LIFE INSURANCE COMPANY
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 1
Date: 4/28/1979
Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
