David C. Kaplan

SHEPHERD KAPLAN LLC

BOSTON, MA 02109-2820

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CRD#: 2307318

Professional summary

David Charles Kaplan is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Boston, Massachusetts and SHEPHERD KAPLAN KROCHUK, LLC located in Boston, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.

Name of Business: Shepherd Kaplan Krochuk LLC, Investment Related: Yes, Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Investment Advisor, Position: Managing Member, Start Date: 11/01/2017, Hours per month and during trading hours: 80, Duties: In charge of long-term strategy and operating areas of the firm. Name of Business: SKK CAPITAL ADVISORS, LLC, Investment Related: No (Pending), Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Broker Dealer (Pending), Position: Managing Member, CCO, Start Date: 02/01/2019, Hours per month and during trading hours: 1, Duties: Overseeing (Pending) Broker Dealer application.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles 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

November 5, 2007 - Present

SHEPHERD KAPLAN LLC

Office #1: 53 State Street 23rd Floor, Boston, MA 02109-2820

RIA

CRD#: 128244

BOSTON, MA

Current

December 22, 2017 - Present

SHEPHERD KAPLAN KROCHUK, LLC

Office #1: 53 State Street 23rd Floor, Boston, MA 02109-2820

RIA

CRD#: 127304

BOSTON, MA

Past

February 22, 2001 - December 31, 2004

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

April 20, 1998 - February 14, 2001

NTB FINANCIAL CORPORATION

CRD#: 7425

HIGHLANDS RANCH, CO

Past

April 14, 1998 - May 6, 1998

NTB FINANCIAL CORPORATION

CRD#: 7425

Past

December 15, 1997 - April 16, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 22, 1994 - April 17, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 22, 1994 - April 17, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 15, 1993 - April 6, 1994

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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 KROCHUK, LLC

GRT CAPITAL PARTNERS, LLC | SHEPHERD KAPLAN KROCHUK, LLC

CRD#: 127304 / SEC#: 801-62286

RIA

Registered Investment Advisory firm - (8/20/2003 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
(11/5/2007)

IAR

Texas
(10/2/2019)

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: 1/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/2/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHEPHERD KAPLAN KROCHUK, LLC

GRT CAPITAL PARTNERS, LLC | SHEPHERD KAPLAN KROCHUK, LLC

CRD#: 127304 / SEC#: 801-62286

RIA

Registered Investment Advisory firm - (8/20/2003 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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN KROCHUK, LLC FORM ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,365
AUM (Assets Under Management)	$ 9,736,764,899

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David C. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEPHERD KAPLAN KROCHUK, LLC

TRIAD ADVISORS LLC

NTB FINANCIAL CORPORATION

NTB FINANCIAL CORPORATION

OSAIC WEALTH, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

SHEPHERD KAPLAN KROCHUK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1998

Series 63

Date: 12/15/1997

Series 7

Date: 4/2/1998

Series 6

Date: 12/13/1997

Current Firm

SHEPHERD KAPLAN KROCHUK, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN KROCHUK, LLC

TRUST BUT VERIFY

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