# KAPLAN DONALD ROY

KAPLAN DONALD ROY appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. 6 filing roles across Form ADV (6).

## Filings (6)

| Filed | Source | Entity | Role | Location |
| --- | --- | --- | --- | --- |
| — | Form ADV | [NEW ENGLAND SECURITIES CORPORATION](https://search.stillhousedata.com/firm/615) | CHIEF COMPLIANCE OFFICER, BROKER DEALER | NEW YORK, NY |
| — | Form ADV | [TOWER SQUARE SECURITIES, INC.](https://search.stillhousedata.com/firm/833) | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [MSI FINANCIAL SERVICES, INC.](https://search.stillhousedata.com/firm/14251) | CHIEF COMPLIANCE OFFICER, BROKER DEALER | SPRINGFIELD, MA |
| — | Form ADV | [WALNUT STREET SECURITIES, INC.](https://search.stillhousedata.com/firm/15840) | CHIEF COMPLIANCE OFFICER AND AML OFFICER | NEW YORK, NY |
| — | Form ADV | [AXA EQUITABLE LIFE INSURANCE COMPANY](https://search.stillhousedata.com/firm/104845) | SR. VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | [WALNUT STREET ADVISERS INC](https://search.stillhousedata.com/firm/109903) | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML OFFICER | SAINT LOUIS, MO |


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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.