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RACHEL SARA KAPLAN
CRD#: 2943860
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 East 52nd Street
14th Floor
New York, NY 10055
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2009 - 2013 (3 years)2 FIRMS2012 - Present (12 years)BADVEST, INC. (CRD# 10)2003 - 2006 (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2003 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2003 (3 years)
License(s)

State Registrations

B
Alabama 4/29/2022

B
Nevada 2/20/2019

B
Alaska 4/29/2022

B
New Hampshire 5/25/2022

B
Arizona 5/11/2022

B
New Jersey 12/21/2012

B
Arkansas 2/20/2019

IA
New Jersey 12/21/2012

B
California 5/11/2022

B
New Mexico 2/20/2019

B
Colorado 5/11/2022

B
New York 12/21/2012

B
Connecticut 2/15/2019

IA
New York 6/16/2021

B
Delaware 5/11/2022

B
North Carolina 2/20/2019

B
District of Columbia 5/11/2022

B
North Dakota 2/20/2019

B
Florida 10/30/2014

B
Ohio 5/27/2022

B
Georgia 2/20/2019

B
Oklahoma 5/25/2022

B
Hawaii 5/25/2022

B
Oregon 5/25/2022

B
Idaho 5/25/2022

B
Pennsylvania 11/6/2018

B
Illinois 2/20/2019

B
Puerto Rico 2/20/2019

B
Indiana 2/20/2019

B
Rhode Island 2/20/2019

B
Iowa 5/25/2022

B
South Carolina 2/20/2019

B
Kansas 5/25/2022

B
South Dakota 2/20/2019

B
Kentucky 5/25/2022

B
Tennessee 5/25/2022

B
Louisiana 5/25/2022

B
Texas 2/20/2019

B
Maine 5/25/2022

IA
Texas 4/15/2020

B
Maryland 5/25/2022

B
Utah 2/20/2019

B
Massachusetts 3/11/2019

B
Vermont 5/25/2022

B
Michigan 5/25/2022

B
Virgin Islands 5/25/2022

B
Minnesota 2/20/2019

B
Virginia 5/25/2022

B
Mississippi 2/20/2019

B
Washington 2/20/2019

B
Missouri 4/29/2022

B
West Virginia 5/25/2022

B
Montana 6/15/2021

B
Wisconsin 2/20/2019

B
Nebraska 2/20/2019

B
Wyoming 5/25/2022

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
55 East 52nd Street 14th Floor, New York, NY 10055
Hoboken, NJ
Registered with this firm since 12/21/2012

B
MORGAN STANLEY (CRD#:149777)
55 East 52nd Street 14th Floor, New York, NY 10055
Hoboken, NJ
Registered with this firm since 12/21/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/26/2009 - 01/11/2013 TD AMERITRADE, INC. (CRD#:7870) JERSEY CITY, NJ
B
06/26/2009 - 01/11/2013 TD AMERITRADE, INC. (CRD#:7870) JERSEY CITY, NJ
IA
06/08/2006 - 12/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/08/2006 - 12/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
09/10/2003 - 03/08/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
07/01/2003 - 08/27/2003 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
09/17/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.