James S. Kaplan

NATIONAL INVESTMENT SERVICES OF AMERICA

Milwaukee, WI 53202

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CRD#: 1479440

Professional summary

James Simpson Kaplan, who also goes by Jim Kaplan, is a registered financial advisor currently at NATIONAL INVESTMENT SERVICES OF AMERICA, LLC located in Milwaukee, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Simpson Kaplan's CRS (Customer Relationship Summary).

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

March 2, 2020 - Present

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

Office #1: 777 East Wisconsin Avenue, Suite 2350, Milwaukee, WI 53202

RIA

CRD#: 307169

Milwaukee, WI

Past

December 22, 2009 - March 2, 2020

NATIONAL INVESTMENT SERVICES, INC

RIA

CRD#: 111746

MILWAUKEE, WI

Past

July 5, 1994 - December 31, 2008

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

January 13, 1989 - November 1, 1994

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 19002

CHARLOTTE, NC

Past

April 29, 1986 - January 25, 1989

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

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".

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

NATIONAL INVESTMENT SERVICES | NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

CRD#: 307169 / SEC#: 801-118132

RIA

Registered Investment Advisory firm - (2/26/2020 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

Wisconsin
(3/2/2020)

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

Series 63

Date: 6/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/2004

General Securities Principal Examination

Current Firm

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

NATIONAL INVESTMENT SERVICES | NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

CRD#: 307169 / SEC#: 801-118132

RIA

Registered Investment Advisory firm - (2/26/2020 Approved)

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Contact information

Main Address

777 East Wisconsin Avenue, Suite 2350, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 765-1980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NATIONAL INVESTMENT SERVICES FORM ADV PART 2A MARCH 2025 (4/24/2025)

Regulatory assets under management

Total Number of Accounts	342
AUM (Assets Under Management)	$ 12,910,404,000

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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Advisor Monitoring

Firm Stability Insights

James S. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Simpson Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL INVESTMENT SERVICES, INC

WILLIAM BLAIR

FIRST UNION CAPITAL MARKETS CORP.

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/1987

Series 7

Date: 4/19/1986

Series 24

Date: 2/23/2004

Current Firm

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

TRUST BUT VERIFY

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