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James Adrian Kaplan

GOVERNANCE HOLDINGS CO·PORTLAND, Maine
Unclaimed Profile
56 NORTHPORT DRIVE, PORTLAND, ME 04103CRD# 839412Firm CRD# 162965
01

About

James Adrian Kaplan is a registered financial advisor based in PORTLAND, Maine, affiliated with GOVERNANCE HOLDINGS CO. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Education
Client Types

Client type data will be added during profile enrichment.

03

Firm Overview

Firm
GOVERNANCE HOLDINGS CO
GMI RATINGS
AUM
—
Regulatory assets under management
Employees
50
Total firm employees
View all advisors at GOVERNANCE HOLDINGS CO →
Services
Market timing services
Educational seminars/workshops
Other
04

Background

Compensation
Hourly charges
Fixed fees
Subscription fees
Other: SUBSCRIPTION TO ONLINE DATABASE
Regulatory
SEC/IARD CRD# 839412
Firm CRD# 162965
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does James Adrian Kaplan offer?
James Adrian Kaplan specializes in Financial Education. Contact their office in PORTLAND, Maine for a consultation.
What are James Adrian Kaplan's credentials?
James Adrian Kaplan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Adrian Kaplan located?
James Adrian Kaplan is based in PORTLAND, Maine, working with GOVERNANCE HOLDINGS CO. Their office serves clients in the PORTLAND metropolitan area and surrounding communities.
How does James Adrian Kaplan charge for services?
James Adrian Kaplan's firm is compensated through hourly charges, fixed fees, subscription fees, other: subscription to online database. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is GOVERNANCE HOLDINGS CO?
GOVERNANCE HOLDINGS CO has approximately 50 employees. The firm is registered with the SEC as an investment adviser.
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City Guides
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Research
Advisor Fees in MaineNational Fee Analysis
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