Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Kaplan is a financial advisor with over 25 years of experience in the industry. David Kaplan is currently registered with Baron Capital, Inc. and has been with the firm since June 2002. Prior to joining Baron Capital, Inc., David Kaplan worked at MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE and DOUGLAS BREMEN & CO., INC. David Kaplan holds the Series 7, Series 63, and SIE licenses. David Kaplan is registered with the following states: Alabama, Connecticut, Delaware, District of Columbia, Florida, Georgia, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Vermont, Virginia and West Virginia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
06/07/2002 - Present
Baron Capital, Inc. (NEW YORK NY)
NA
10/27/1987 - 01/19/1993
MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE
NA
10/22/1985 - 12/16/1986
DOUGLAS BREMEN & CO., INC.
BC
Issued 08/18/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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