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Detailed Report
Eric SEAN Kaplan
ERIC KAPLAN
CRD#: 2945918
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (2 years)BSPENCER CLARKE LLC (CRD# 41316)2000 - 2002 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2000 (2 years)IAQUICK & REILLY, INC. (CRD# 11217)2003 - 2004 (1 year)
Disclosure(s)
View By:
4/7/2006
Customer Dispute
Denied
12/12/2005
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 5/5/2022
B
Missouri 5/29/2019
B
California 10/23/2009
B
Nevada 8/18/2022
B
Colorado 9/18/2024
B
New Hampshire 10/23/2009
B
Connecticut 10/23/2009
B
New Jersey 10/23/2009
IA
Connecticut 10/26/2009
B
New York 10/23/2009
B
Delaware 3/22/2024
B
North Carolina 10/23/2009
B
District of Columbia 10/24/2019
B
Ohio 12/4/2015
B
Florida 10/23/2009
B
Oregon 7/27/2011
B
Georgia 11/7/2023
B
Pennsylvania 3/15/2010
B
Hawaii 4/5/2019
B
Rhode Island 10/23/2009
B
Illinois 8/6/2015
B
South Carolina 10/23/2009
B
Indiana 1/9/2024
B
Tennessee 3/6/2024
B
Kentucky 12/8/2015
IA
Texas 11/5/2012
B
Maine 10/23/2009
B
Texas 1/21/2016
B
Maryland 10/5/2020
B
Utah 6/7/2024
B
Massachusetts 10/23/2009
B
Vermont 10/18/2017
B
Michigan 4/6/2021
B
Virgin Islands 2/12/2025
B
Minnesota 10/24/2023
B
Virginia 6/21/2019
B
Mississippi 2/8/2022
B
Washington 1/14/2021

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 10/26/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45 WILLIAM ST, WELLESLEY HILLS, MA 02481
Registered with this firm since 10/23/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
 07/25/2003 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) BOSTON, MA
B
 03/13/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 01/14/2000 - 03/05/2002 SPENCER CLARKE LLC (CRD#:41316) MIAMI BEACH, FL
B
 10/17/1997 - 01/14/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.