Bradley D. Kaplan

KAPLAN WEALTH MANAGEMENT

Cape May, NJ

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CRD#: 2923598

Professional summary

Bradley David Kaplan, CFP®, who also goes by Brad David Kaplan, is a registered financial advisor currently at KAPLAN WEALTH MANAGEMENT, INC. located in Cape May, New Jersey and LPL FINANCIAL LLC located in Haymarket, Virginia.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Bradley has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Comprehensive Financial Planni...

Long-term Care

Education Planning

Insurance Planning

Retirement Planning

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

Brad David 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 Bradley 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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

May 31, 2013 - Present

KAPLAN WEALTH MANAGEMENT, INC.

RIA

CRD#: 167880

Cape May, NJ

Current

May 30, 2013 - Present

LPL FINANCIAL LLC

Office #1: 15100 Washington St. #104, Haymarket, VA 20169Office #3: 11710 Plaza America Dr Ste 2000, Reston, VA 20190

RIA

CRD#: 6413

Haymarket, VA

Past

November 10, 2008 - May 30, 2013

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

FAIRFAX, VA

Past

September 30, 1997 - May 30, 2013

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

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.

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

Arizona
(11/1/2022)

California
(11/1/2022)

Colorado
(11/1/2022)

Connecticut
(11/1/2022)

Delaware
(11/1/2022)

District of Columbia
(11/1/2022)

Florida
(5/23/2018)

Georgia
(11/1/2022)

Idaho
(11/1/2022)

Illinois
(11/1/2022)

Indiana
(11/1/2022)

Kansas
(11/1/2022)

Maine
(11/1/2022)

Maryland
(5/30/2013)

IAR

Maryland
(5/31/2013)

Massachusetts
(11/1/2022)

Michigan
(5/30/2013)

Mississippi
(5/22/2024)

Nevada
(11/1/2022)

New Jersey
(5/30/2013)

IAR

New Jersey
(8/21/2024)

New Mexico
(4/13/2022)

New York
(11/1/2022)

North Carolina
(5/30/2013)

IAR

North Carolina
(5/31/2013)

Ohio
(11/2/2022)

Oklahoma
(11/1/2022)

Oregon
(11/1/2022)

Pennsylvania
(5/30/2013)

South Carolina
(5/12/2021)

Tennessee
(11/21/2023)

Texas
(11/1/2022)

Utah
(11/1/2022)

Vermont
(11/1/2022)

Virginia
(5/30/2013)

IAR

Virginia
(5/31/2013)

Washington
(11/1/2022)

West Virginia
(5/30/2013)

Wisconsin
(11/1/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/29/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KAPLAN WEALTH MANAGEMENT, INC.

1 TACTICAL ADVISOR, LLC | KAPLAN WEALTH MANAGEMENT, INC.

CRD#: 167880 / SEC#: 801-78074

RIA

Registered Investment Advisory firm - (10/1/2013 Terminated)

Florida

Registered Investment Advisory firm - (3/4/2021 Approved)

Maryland

Registered Investment Advisory firm - (9/13/2013 Approved)

New Jersey

Registered Investment Advisory firm - (8/29/2024 Approved)

North Carolina

Registered Investment Advisory firm - (6/13/2013 Approved)

Texas

Registered Investment Advisory firm - (9/27/2013 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (9/20/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11710 Plaza America Dr Suite 2000, Reston, VA 20190

Mailing Address

Phone number

(703) 352-1780

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	287
AUM (Assets Under Management)	$ 88,964,079

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Bradley D. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KAPLAN WEALTH MANAGEMENT, INC.

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/1998

Series 63

Date: 8/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2001

Series 6

Date: 9/29/1997

Series 24

Date: 12/13/2021

FINRA

Current Firm

KAPLAN WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KAPLAN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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