Joachim D. Kaplan
Professional summary
Joachim David Kaplan, CFP®, who also goes by Joe Kaplan, is a registered financial professional currently at VALMARK SECURITIES, INC. located in Gainesville, Florida.
Joachim is registered as a RR (Registered Representative) and started their career in finance in 1999. Joachim has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joachim David Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2024 - Present
VALMARK SECURITIES, INC.
Office #2: 130 Springside Dr. #120, Akron, OH 44333July 15, 2021 - January 2, 2024
M HOLDINGS SECURITIES, INC.
March 26, 2020 - October 1, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 28, 2007 - March 31, 2020
PRUCO SECURITIES, LLC.
December 1, 2004 - March 4, 2005
SUNSET FINANCIAL SERVICES, INC.
December 1, 1999 - July 13, 2004
PRUCO SECURITIES, LLC.
November 29, 1999 - July 13, 2004
PRUCO SECURITIES, LLC.
April 20, 1999 - November 4, 1999
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2024)
(1/2/2025)
(3/27/2024)
(9/4/2025)
(1/11/2024)
(3/27/2024)
(3/27/2024)
(3/27/2024)
(3/27/2024)
(11/19/2024)
(4/3/2024)
(3/27/2024)
(3/27/2024)
(4/17/2025)
(1/11/2024)
(9/10/2025)
(3/27/2024)
(3/27/2024)
Exams
FINRA
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
