David E. Kaplan

COTTONWOOD ASSET MANAGEMENT LLC

SANDY, UT

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CRD#: 2321224

Professional summary

David Edward Kaplan is a registered financial advisor currently at COTTONWOOD ASSET MANAGEMENT LLC located in Sandy, Utah.

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

ADD IT UP LLC DBA MATHNASIUM OF SUGAR HOUSE; NOT INVESTMENT RELATED; 1511 EAST 2100 SOUTH SALT LAKE CITY 84105; MATHNASIUM EDUCATION CENTER; OWNER; 01/01/2012; 1 HOUR/MONTH DEVOTED; 0 HOURS/MOTH DEVOTED DURING SECURITIES TRADING HOURS; MR. KAPLAN PROVIDES TAX AND ACCOUNTING SERVICES FOR THE LLC. COTTONWOOD TAX & ACCOUNTING; NOT INVESTMENT RELATED; 4505 S WASATCH BLVD, SUITE 340, SALT LAKE CITY, UTAH 84124; TAX AND ACCOUNTING FIRM; CEO; 01/01/2011; 120 HOURS/MONTH DEVOTED; 40 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; MR. KAPLAN PROVIDES TAX PREPARATION AND ACCOUNTING SERVICES. I ALSO HAVE MY INSURANCE LICENSE WITH THE STATE OF UTAH. THIS IS A SMALL PORTION OF MY BUSINESS AND SHOULD ONLY BE 5% OF MY REVENUES AND A VERY SMALL NUMBER OF HOURS (< 5%) DURING SECURITIES TRADING HOURS. THIS WORK IS DONE AT THE ADDRESS ON FILE. I RECEIVED MY LIFE INSURANCE LICENSE IN JULY.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

OLYMPIC CAPITAL PARTNERS SECURITIES L.L.C.

CRD#: 38704

SEATTLE, WA

Past

April 6, 1993 - October 3, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

Utah
(6/10/2010)

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: 4/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/29/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/30/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COTTONWOOD ASSET MANAGEMENT LLC

COTTONWOOD ASSET MANAGEMENT | COTTONWOOD CAPITAL | COTTONWOOD ASSET MANAGEMENT LLC

CRD#: 153036 / SEC#:

Texas

Registered Investment Advisory firm - (3/27/2019 Conditional Restricted)

Utah

Registered Investment Advisory firm - (6/9/2010 Approved)

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Contact information

Main Address

4505 South Wasatch Blvd #300, Salt Lake City, UT 84124

Mailing Address

2915 E Jennie Lane, Holladay, UT 84117

Phone number

(801) 520-1353

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 13,384,036

Red Flags

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

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David E. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

COTTONWOOD ASSET MANAGEMENT LLC

MILES CAPITAL, INC.

VMF CAPITAL

VMF CAPITAL LLC

OLYMPIC CAPITAL PARTNERS SECURITIES L.L.C.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/1993

Series 7

Date: 3/29/1994

Series 6

Date: 3/30/1993

Current Firm

COTTONWOOD ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COTTONWOOD ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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