JK
James D. Kaplan
ONEDIGITAL
Princeton, NJ 08540
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CRD#: 1184946
JK
Professional summary
James David Kaplan, who also goes by James Kaplan, Jim Kaplan, is a registered financial advisor currently at ONEDIGITAL located in Princeton, New Jersey and M HOLDINGS SECURITIES, INC. located in Princeton, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Kaplan | Jim Kaplan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
THE MARIANO RIVERA FOUNDATION; 321 CHATTAHOOCHEE DRIVE BEAR, DE 19701; CHARITABLE FOUNDATION; NOT INVESTMENT RELATED; BOARD OF DIRECTORS; BOARD OF DIRECTOR ACTIVITIES; 11/09/2020; 5 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS. __|__ CAPTIVE PLANNING ASSOCIATES; FIVE GREENTREE CENTRE, 525 ROUTE 73 NORTH, SUITE 218 MARLTON, NJ 08053; REFERRALS; NOT INVESTMENT RELATED; REFERRING CLIENTS; 02/01/2017; 1 HOUR PER MONTH; 1 HOUR PER MONTH DURING TRADING HOURS. __|__ EASTRIDGE HOMEOWNERS ASSOCIATION; 610 W BROADWAY # 203, JACKSON WY 83001; HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; BOARD OF DIRECTORS; MAKE SURE ROADS ARE PLOWED; 02/01/2024; 2 HOURS PER MONTH; 2 HOURS PER MONTH DURING TRADING HOURS. __|__ KJAC PARTNERS, LLC DBA KBFINANCIAL PARTNERS; INVESTMENT RELATED; 300 CARNEGIE CENTER, SUITE 240, PRINCETON, NJ 08540; INSURANCE AGENT; 11/2019; 40 HRS/MONTH; 40 HRS/MONTH DURING SECURITIES TRADING HOURS; PROVIDE FIXED INSURANCE PRODUCTS TO CLIENTS OF ONEDIGITAL. __|__ ONEDIGITAL INVESTMENT ADVISORS LLC; INVESTMENT RELATED; 300 CARNEGIE CENTER, SUITE 240, PRINCETON, NJ 08540; INVESTMENT ADVISER REPRESENTATIVE; 8/2022; 60 HRS/MONTH; 60 HRS/MONTH DURING SECURITIES TRADING HOURS; PROVIDE INVESTMENT PRODUCTS OFFERED BY ONEDIGITAL TO CLIENTS. __|__ M HOLDINGS SECURITIES; INVESTMENT RELATED; 300 CARNEGIE CENTER, SUITE 240, PRINCETON, NJ 08540; REGISTERED REPRESENTATIVE; 3/2012; 60 HOURS/MONTH DEVOTED; 60 HOURS/MONTH DURING SECURITIES TRADING HOURS; M HOLDINGS SECURITIES ALLOWS US TO OFFER FIXED AND VARIABLE INSURANCE PRODUCTS TO CLIENTS OF ONEDIGITAL.
CRS (Client Relationship Summary) - RIA
Click below to view James David Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 15, 2022 - Present
ONEDIGITAL
Office #1: 300 Carnegie Center Drive Suite 240, Princeton, NJ 08540RIA
CRD#: 106766
Princeton, NJ
Current
April 2, 2012 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 300 Carnegie Center, Suite 240, Princeton, NJ 08540RIA
BD
CRD#: 43285
Princeton, NJ
Past
July 28, 2000 - December 31, 2023
KB FINANCIAL PARTNERS, LLC
RIA
CRD#: 119166
PRINCETON, NJ
Past
May 30, 2000 - April 12, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
PRINCETON, NJ
Past
May 23, 1986 - July 14, 1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
May 22, 1986 - July 14, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
September 21, 1983 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 21, 1983 - April 12, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
PRINCETON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
Registered Investment Advisory firm - (1/22/1992 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/8/2017)
RR
Alaska(11/24/2020)
RR
Arizona(8/14/2024)
RR
California(4/2/2012)
RR
Colorado(4/15/2022)
RR
Connecticut(4/2/2012)
RR
Delaware(4/2/2012)
RR
District of Columbia(4/15/2020)
RR
Florida(4/2/2012)
RR
Georgia(4/15/2020)
RR
Idaho(8/14/2024)
RR
Illinois(4/15/2020)
RR
Iowa(8/27/2021)
RR
Kentucky(4/5/2023)
RR
Louisiana(8/11/2021)
RR
Maine(4/15/2020)
RR
Maryland(3/5/2019)
RR
Massachusetts(4/2/2012)
RR
Michigan(4/15/2020)
RR
Minnesota(4/2/2012)
RR
Montana(9/15/2021)
RR
Nevada(4/2/2012)
RR
New Hampshire(4/15/2020)
RR
New Jersey(4/2/2012)
IAR
New Jersey(9/16/2022)
RR
New York(4/2/2012)
RR
North Carolina(4/2/2012)
RR
North Dakota(11/24/2020)
RR
Ohio(8/11/2021)
RR
Oklahoma(1/10/2022)
RR
Oregon(3/21/2018)
RR
Pennsylvania(4/2/2012)
RR
Rhode Island(4/2/2012)
RR
South Carolina(4/15/2020)
RR
South Dakota(6/19/2019)
RR
Texas(4/2/2012)
IAR
Texas(9/15/2022)
RR
Utah(8/11/2021)
RR
Vermont(4/2/2012)
RR
Virginia(4/15/2020)
RR
Washington(4/15/2020)
RR
West Virginia(9/7/2021)
RR
Wisconsin(2/14/2025)
RR
Wyoming(8/11/2021)
IAR
Wyoming(9/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ON
ONEDIGITAL
(K)RPG | WESTMINSTER CONSULTING | WEALTHSOURCE | VERTICAL FINANCIAL | TRIAD FINANCIAL ADVISORS | TIMESCALE FINANCIAL | THE PINNACLE PLANNING GROUP | TEROS ADVISORS | STRATEGIC RETIREMENT GROUP | STONESTREET EQUITY | SHA RETIREMENT GROUP | SERVICE PLANNING CORPORATION | RETIREMENT PARTNER ADVISORS (RPA) | RETIREMENT BENEFITS GROUP | RESOURCES INVESTMENT ADVISORS, LLC | RESOURCES INVESTMENT ADVISORS INC | RESOURCES INVESTMENT ADVISORS | PROSPERITY FINANCIAL GROUP MIDWEST (PFG) | PRAXIS CONSULTING | PENSION INVESTMENT SERVICES, LLC | ONEDIGITAL RETIREMENT AND WEALTH | ONEDIGITAL INVESTMENT ADVISORS LLC | ONEDIGITAL INVESTMENT ADVISORS | ONEDIGITAL FINANCIAL SERVICES | ONEDIGITAL | MONTGOMERY RETIREMENT PLAN ADVISORS | LEGACY ASSET MANAGEMENT | KZ WEALTH | KEYSTONE RETIREMENT & INSURANCE ADVISORS | KB FINANCIAL | JFL TOTAL WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | HM CAPITAL MANAGEMENT | GROEBL BROTHERS | GOULDIN & MCCARTHY | GHC ASSOCIATES | GENERATIONS WEALTH PLANNING | FUTURE BENEFITS | FULCRUM PARTNERS | FLORIDA PENSION GROUP | FIDUCIARY PLAN ADVISORS | EAST MAIN STREET ADVISORS | CLEARVIEW ADVISORY | CHEPENIK FINANCIAL | CAPSTONE ADVISORY GROUP | CAFARO GREENLEAF | BUKATY MORRIS RETIREMENT SERVICES | BUKATY MORRIS RETIREMENT PLAN SERVICES | BUKATY COMPANIES WEALTH MANAGEMENT | BUKATY COMPANIES RETIREMENT PLAN SERVICES | BUKATY COMPANIES O'RENICK WEALTH MANAGEMENT | BUKATY COMPANIES FINANCIAL SERVICES | ATLANTA RETIREMENT PARTNERS | ASI WEALTH MANAGEMENT | AREA FINANCIAL | ACT 2 RETIREMENT CONSULTING | 401K ADVISORS INTERMOUNTAIN | 401(K) RESOURCES | 401(K) ADVISORS INTERMOUNTAIN
CRD#: 106766 / SEC#: 801-40622
RIA
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Contact information
Main Address
11101 Switzer Road Suite 200, Overland Park, KS 66210
Mailing Address
Phone number
(877) 742-2021
Established
Firm type
Fiscal year end
# of Employees
610
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 38,423 |
| AUM (Assets Under Management) | $ 142,602,344,768 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 08/27/2024 | ||
| 10/16/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ONEDIGITAL
CRD#: 106766Princeton, NJ 08540TRUST BUT VERIFY
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