FacultyFaculty/Author Profile

Robert B. Kaplan

FINRA
Vice President and District Director
Philadelphia, PA, USA


Bob Kaplan has been associated with FINRA® since April 2000 and currently serves as Vice President and Director of the FINRA® District 9A office in Philadelphia, Pennsylvania. Prior to assuming this position, he served as Deputy Director of the FINRA® District 10 office in New York.    

 Mr. Kaplan has been employed in the securities brokerage industry since 1984.  He served as the first General Counsel and Compliance Officer for Fiserv Securities, Inc. ("FSI") f/k/a BHC Securities, Inc. and in a variety of senior management positions culminating with his appointment as Senior Vice President in January, 1999. In addition to his duties at FSI, Mr. Kaplan was Secretary of BHC Financial, Inc., the publicly traded parent company of BHC Securities, Inc. until its acquisition by Fiserv, Inc. in May, 1997. Mr. Kaplan also served as Secretary of Fiserv Investor Services, Inc., the retail brokerage affiliate of FSI, and in that capacity was responsible for oversight of their compliance program.      

 A native Philadelphian, Bob earned a degree in History (B.A.) in 1978 from Temple University and received his law degree from Villanova University School of Law (J.D.) in 1981. Bob and his wife, Lisa, have two daughters and reside in Newtown, PA.

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