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STEVEN MATTHEW KAPLAN
STEVEN KAPLAN
CRD#: 5195876
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 16 CAMPUS BLVD
SUITE 200
NEWTOWN SQUARE, PA 19073
Registration History
200620082010201220142016201820202022202420262 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BNEW ENGLAND SECURITIES (CRD# 615)2006 - 2015 (8 years)IANEWSQUARE CAPITAL, LLC (CRD# 152430)2011 - 2017 (6 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2008 - 2015 (6 years)
Disclosure(s)
View By:
7/9/2012
Customer Dispute
Denied
9/22/2008
Customer Dispute
Denied
License(s)

State Registrations

B
California 3/21/2024

B
New Jersey 3/25/2017

B
Delaware 3/25/2017

B
New York 3/25/2017

B
District of Columbia 3/25/2017

B
North Carolina 3/25/2017

B
Florida 3/25/2017

B
Pennsylvania 3/25/2017

B
Louisiana 6/30/2020

IA
Pennsylvania 3/25/2017

B
Maryland 3/25/2017

B
Virginia 6/27/2024

B
Massachusetts 5/17/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
16 CAMPUS BLVD SUITE 200, NEWTOWN SQUARE, PA 19073
Paoli, PA
Registered with this firm since 3/25/2017

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
16 CAMPUS BLVD SUITE 200, NEWTOWN SQUARE, PA 19073
Paoli, PA
Registered with this firm since 3/25/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/23/2011 - 12/31/2017 NEWSQUARE CAPITAL, LLC (CRD#:152430) NEWTOWN SQUARE, PA
IA
01/02/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) NEWTOWN SQUARE, PA
B
01/02/2015 - 03/25/2017 MSI FINANCIAL SERVICES, INC. (CRD#:14251) NEWTOWN SQUARE, PA
IA
02/04/2008 - 01/02/2015 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) NEWTOWN SQUARE, PA
B
10/18/2006 - 01/02/2015 NEW ENGLAND SECURITIES (CRD#:615) NEWTOWN SQUARE, PA
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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.