Robert Kaplan

Robert Kaplan has extensive experience in the financial and compliance sectors, having held key leadership roles at several organizations. Kaplan served as Vice President and District Director at FINRA from December 2006 to March 2018, and also held the role of Associate Vice President and Deputy Director during the same period. Following this, Kaplan was the Managing Director at Kaplan Advisory Services, LLC for a brief period in April 2018 to June 2018. Currently, Kaplan is the Chief Compliance Officer at Ascensus, a position held since June 2018. Earlier career highlights include serving as Senior Vice President, Counsel, and Secretary at Fiserv Securities, Inc. from June 1984 to March 2000. Academic credentials include a Bachelor of Arts in History from Temple University, a Doctor of Law degree from Villanova University Charles Widger School of Law, and completion of the CRCP Program at The Wharton School.