Joachim David Kaplan
CFP®Professional Summary
Joachim David Kaplan, CFP®, who also goes by Joe Kaplan, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Kaplan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
VALMARK SECURITIES, INC.
Contact Information
Main Address
130 Springside Drive Suite 300, Akron, OH 44333-2431Mailing Address
130 Springside Drive Suite 300, Akron, OH 44333-2431Phone Number
(800) 765-5201Established
Ohio since 12/08/1992Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(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)
(1/27/2026)
(1/11/2024)
(9/10/2025)
(3/27/2024)
(12/17/2025)
(3/27/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1999About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2010About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joachim David Kaplan's CRS (Customer Relationship Summary).
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