David Kaplan

Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-03
TX	RA	APPROVED	2018-08-27

NY RA
APPROVED

Since 2021-05-03
TX RA
APPROVED

Since 2018-08-27

Branch Locations

White Plains, NY • United States

925 Westchester Avenue Floor 04, White Plains, NY 10604 • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	White Plains	NY	08/2010	08/2018
Bank Of America,Na	White Plains	NY	10/2010	08/2018
Jpmorgan Chase Bank, N.A.	White Plains	NY	08/2018	Present
Jpmorgan Securities, Llc.	White Plains	NY	08/2018	Present

08/2010 → 08/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

White Plains, NY
10/2010 → 08/2018

Bank Of America,Na

White Plains, NY
08/2018 → Present

Jpmorgan Chase Bank, N.A.

White Plains, NY
08/2018 → Present

Jpmorgan Securities, Llc.

White Plains, NY

Previous Registrations

2010-08-13 → 2018-08-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

White Plains, NY
2007-11-19 → 2010-08-20

Ubs Financial Services Inc.

Purchase, NY

White Plains, NY

Other Businesses

Effective 8/27/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-01-16

S63 Uniform Securities Agent State Law Examination

1992-01-16

Other Names

David A Kaplan
David Alan Kaplan

View on SEC IAPD