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Marshall Van Kaplan

Investment Adviser Representative at INGALLS & SNYDER LLC

New York, NYCRD #1417297Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
2 states
Exams Passed
11

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Marshall Van Kaplan has worked in the securities industry since 1986. They have passed the Series 87, 86, 65, 63, 24, 10, 9, 8, 7, and 4 examinations. They are registered to provide investment advisory services in New Jersey and New York.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
New JerseyNew York
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/10/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 5/6/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 11/1/2004
Series 86
Research Analyst Exam - Part I Analysis Module
Passed 10/18/2004
Series 7
General Securities Representative Examination
Passed 4/19/1986
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 8/7/2000
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 9/5/1990
Series 4
Registered Options Principal Examination
Passed 2/6/1987

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $100,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Ingalls & Snyder LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INGALLS & SNYDER LLCCurrent
10/10/2018New York, NY
INGALLS & SNYDER, LLCCurrent
10/10/2018Montville, NJ
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
10/1/201510/30/2018New York, NY
MORGAN STANLEY
3/9/201010/30/2015New York, NY
CITIGROUP GLOBAL MARKETS INC.
10/24/19903/1/2010New York, NY

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Marshall Van Kaplan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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