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David Charles Kaplan

SHEPHERD KAPLAN LLC·BOSTON, Massachusetts
Series 6, Series 7, Series 63, Series 65Clean record18 years registeredSHEPHERD KAPLAN LLC
53 STATE STREET, BOSTON, MA 02109-2820CRD# 2307318Firm CRD# 128244

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Charles Kaplan · BOSTON, MA
Registration
CRD #2307318 · SHEPHERD KAPLAN LLC · 18 years registered
Brand Profile
Not yet started
01

Career History

SHEPHERD KAPLAN KROCHUK, LLC
Dec 2017 – present
SHEPHERD KAPLAN LLC
Nov 2007 – present
02

Registrations & Exams

FINRA examinations passed
Series 6
Series 7
Series 63
Series 65
Registration record
First registered · November 5, 2007
Years registered · 18
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SHEPHERD KAPLAN LLC
CRD 128244 · SEC 801-62349
AUM
$8.6B
Regulatory assets under management
Employees
43
1,330 client accounts
Services offered by SHEPHERD KAPLAN LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SHEPHERD KAPLAN LLC →
Introduction

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05

Frequently Asked Questions

What services does David Charles Kaplan offer?
David Charles Kaplan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BOSTON, Massachusetts for a consultation.
What are David Charles Kaplan's credentials?
David Charles Kaplan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Charles Kaplan located?
David Charles Kaplan is based in BOSTON, Massachusetts, working with SHEPHERD KAPLAN LLC. Their office serves clients in the BOSTON metropolitan area and surrounding communities.
How does David Charles Kaplan charge for services?
David Charles Kaplan's firm is compensated through other: a % of revenue collected for sub-advisory services. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SHEPHERD KAPLAN LLC?
SHEPHERD KAPLAN LLC has approximately 43 employees and manages $8.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at SHEPHERD KAPLAN LLC

David Morris Shepherd
BOSTON, MA

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Research
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