Lawrence Bray Kaplan

Current Employers

Summit Investment Management, Llc

Lyme, CT • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2009-05-05

CT RA
APPROVED

Since 2009-05-05

Branch Locations

Lyme, CT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Summit Investment Management, Llc	Lyme	CT	05/2009	Present

05/2009 → Present

Summit Investment Management, Llc

Lyme, CT

Previous Registrations

2009-01-02 → 2009-05-05

Raymond James Financial Services Advisors, Inc

Saint Petersburg, FL
1996-02-05 → 2009-01-02

Raymond James Financial Services, Inc.

Simsbury, CT

Simsbury, CT

Other Businesses

Licensed Insurance Agent; Lyme, CT; sell insurance products

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-08-22

S63 Uniform Securities Agent State Law Examination

1989-08-22

Other Names

Larry Kaplan

View on SEC IAPD