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David Kaplan

Nomura Securities International, Inc.

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About David Kaplan

David Kaplan is a financial professional with over 16 years of experience in the industry. David is currently registered with Nomura Securities International, Inc. and has previously worked with Apollo Global Securities, LLC, ING Financial Markets LLC, and Pershing LLC. David's areas of expertise include securities and has passed the Series 7, Series 63 and SIE exams. David is licensed in New York.

Firm Information

David Kaplan is currently registered with Nomura Securities International, Inc.. Nomura Securities International, Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They offer research-related services and publish periodicals. Their clients include other investment advisors.
Nomura Securities International, Inc.

WORLD WIDE PLAZA

NEW YORK, NY 10019-7316

Not reported

Assets Under Management

1

Total Clients

78

Total Financial Advisors

Services Offered

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.

check

research-related services

Research-related services

Fee Structure

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.

check

other

Negotiated fees for research-related services

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David Kaplan’s Registration & Firm History

NY

09/19/2022 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

02/12/2020 - 09/15/2022

APOLLO GLOBAL SECURITIES, LLC (NEW YORK NY)

NY

04/20/2015 - 02/13/2020

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

04/24/2014 - 04/17/2015

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NJ

10/11/2006 - 03/25/2014

PERSHING LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 06/14/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/10/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Kaplan.
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