KAPLAN DONALD ROY appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. KAPLAN DONALD ROY appears on 6 filing roles across Form ADV (6).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | NEW ENGLAND SECURITIES CORPORATION | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NEW YORK, NY |
| — | Form ADV | TOWER SQUARE SECURITIES, INC. | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | MSI FINANCIAL SERVICES, INC. | CHIEF COMPLIANCE OFFICER, BROKER DEALER | SPRINGFIELD, MA |
| — | Form ADV | WALNUT STREET SECURITIES, INC. | CHIEF COMPLIANCE OFFICER AND AML OFFICER | NEW YORK, NY |
| — | Form ADV | AXA EQUITABLE LIFE INSURANCE COMPANY | SR. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | WALNUT STREET ADVISERS INC | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML OFFICER | SAINT LOUIS, MO |