David E. Perlin

SHEPHERD KAPLAN LLC

Washington, DC

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CRD#: 1301100

Professional summary

David Evan Perlin is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Washington, District Of Columbia.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Institute for Trading and Portfolio Management; Investment Related; London, UK; Investment Education and Mentoring; Consultant/Mentor; 05/2017; 10 hours a month; 0 hours a month during trading; Work as a consultant to the investment and portfolio management education company.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Evan Perlin'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®

None

Experience

Current

February 26, 2020 - Present

SHEPHERD KAPLAN LLC

RIA

CRD#: 128244

Washington, DC

Past

June 26, 2017 - December 31, 2019

PEARL INVESTMENT PARTNERS, LLC

RIA

CRD#: 288062

WASHINGTON, DC

Past

May 3, 2013 - May 17, 2017

GOLDMAN SACHS & CO. LLC

CRD#: 361

WASHINGTON, DC

Past

March 22, 2012 - June 8, 2012

AGILE PT GROUP LLC

CRD#: 155177

NEW YORK, NY

Past

September 13, 2011 - December 6, 2011

BTIG, LLC

CRD#: 122225

NEW YORK, NY

Past

June 10, 2010 - June 17, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

December 14, 2009 - June 11, 2010

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

March 8, 2007 - December 4, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

October 7, 1994 - August 18, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

March 18, 1986 - October 5, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 24, 1984 - March 5, 1986

DOFT & CO., INC.

CRD#: 1660

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".

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/12/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/21/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/28/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 6/27/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/4/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/22/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/4/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 Approved)

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Contact information

Main Address

53 State Street 23rd Floor, Boston, MA 02109-2820

Mailing Address

Phone number

(617) 896-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN FORM ADV PART II (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,351
AUM (Assets Under Management)	$ 9,398,575,271

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.

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Firm Stability Insights

David E. Perlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Evan Perlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEARL INVESTMENT PARTNERS, LLC

GOLDMAN SACHS & CO. LLC

AGILE PT GROUP LLC

BTIG, LLC

HSBC SECURITIES (USA) INC.

SARATOGA CAPITAL MARKETS

MORGAN STANLEY & CO. LLC

GOLDMAN SACHS & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

DOFT & CO., INC.

Primary Firm SEC Registration

SHEPHERD KAPLAN LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2017

Series 66

Date: 6/21/2013

Series 63

Date: 2/27/2007

SIE

Date: 5/17/2017

Series 3

Date: 6/28/2013

Series 55

Date: 6/27/2007

Series 7

Date: 9/15/1984

Series 24

Date: 4/4/2011

Series 10

Date: 11/22/2000

Series 9

Date: 10/4/2000

Current Firm

SHEPHERD KAPLAN LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN LLC

TRUST BUT VERIFY

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