Unclaimed Profile

David Alan Kaplan

BRADDOCK FINANCIAL CORP.·DENVER, Colorado

Clean recordBRADDOCK FINANCIAL CORP.

1200 17TH STREET, DENVER, CO 80202CRD# 4202592Firm CRD# 112732

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Alan Kaplan · DENVER, CO

Registration

CRD #4202592 · BRADDOCK FINANCIAL CORP.

Brand Profile

Not yet started

Disclosure history

Clean record · no disclosure events on file

About

David Alan Kaplan is a registered financial advisor based in DENVER, Colorado, affiliated with BRADDOCK FINANCIAL CORP.. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Investment Management

Retirement Planning

Client Types

Institutional Investors

Pension & Retirement Plans

Introduction

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Firm Overview

Firm

BRADDOCK FINANCIAL LLC

AUM

$565M

Regulatory assets under management

Employees

Total firm employees

View all advisors at BRADDOCK FINANCIAL LLC →

Services

Portfolio management (pooled investments)

Pension consulting

Background

Compensation

Percentage of AUM

Performance-based fees

Regulatory

SEC/IARD CRD# 4202592

Firm CRD# 112732

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does David Alan Kaplan offer?

David Alan Kaplan specializes in Investment Management, Retirement Planning. Contact their office in DENVER, Colorado for a consultation.

What are David Alan Kaplan's credentials?

David Alan Kaplan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Alan Kaplan located?

David Alan Kaplan is based in DENVER, Colorado, working with BRADDOCK FINANCIAL CORP.. Their office serves clients in the DENVER metropolitan area and surrounding communities.

How does David Alan Kaplan charge for services?

David Alan Kaplan's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BRADDOCK FINANCIAL CORP.?

BRADDOCK FINANCIAL CORP. has approximately 8 employees and manages $565M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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