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Michael David Kaplan

Nasdaq Dorsey Wright

Richmond, VA

Washington, DC

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Current Employers
Nasdaq Dorsey Wright

3300 W Leigh Street, Richmond, VA 23230 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2026-02-26
  • VA RA
    APPROVED
    Since 2026-02-26

Branch Locations

3300 W Leigh Street, Richmond, VA 23230 • United States

1100 New York Avenue 3Rd Floor, Washington, DC 20005 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc New City NY 02/2016 11/2016
Sterling National Bank New City NY 02/2016 11/2016
Dorsey Wright & Associates, A Nasdaq Company Richmond VA 11/2016 Present
  • 02/2016 → 11/2016
    Lpl Financial, Llc
    New City, NY
  • 02/2016 → 11/2016
    Sterling National Bank
    New City, NY
  • 11/2016 → Present
    Dorsey Wright & Associates, A Nasdaq Company
    Richmond, VA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-23
S63 Uniform Securities Agent State Law Examination 2012-08-11
  • S65 Uniform Investment Adviser Law Examination
    2021-03-23
  • S63 Uniform Securities Agent State Law Examination
    2012-08-11

View on SEC IAPD

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Other Offices

TAYLOR HOFFMAN CAPITAL MANAGEMENT · RICHMOND, VA
WEALTHCARE CAPITAL MANAGEMENT LLC · RICHMOND, VA
WEST TOWER GROUP, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
AMERIPRISE FINANCIAL SERVICES, LLC · RICHMOND, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
CETERA INVESTMENT ADVISERS LLC · RICHMOND, VA
UBS FINANCIAL SERVICES INC. · RICHMOND, VA

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