MK
Mathew B. Kaplan
J. W. COLE ADVISORS
Fort Lauderdale, FL 33309
Some features on this profile are disabled
CRD#: 7070057
MK
Professional summary
Mathew Brian Kaplan, who also goes by Matt Kaplan, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Fort Lauderdale, Florida and J.W. COLE FINANCIAL, INC. located in Coral Springs, Florida.
Mathew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Mathew has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt 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.
(1) DBA - Myriad Capital; investment related; advisor - start date 2/2021; 6750 North Andrews Avenue Suite 200, Fort Lauderdale, FL 33309; 40 hours per month, 26 hours per month during trading. (2) Fixed Insurance; Non investment related; 5850 Coral Ridge, Unit 303; Coral Springs, FL 33076; fixed insurance sales. (3) Estate Plan Navigator; Non investment related; 231 Garden Cir N, Dunedin, FL 34698; Information Liaison; Information intake (4) Premier Solutions, Inc.; Non-investment related; 1 East Broward Blvd., Ste. 700, Ft. Lauderdale, FL 33301; Independent Contractor; Start date: 3/23/2022; Introduce company to business owners for business cost reduction services; 3 hours per month during trading. (5) Matt Kapital; Non-investment related; 2670 Meadowood Ct. Weston, FL 33332; Sole Proprietor; Start date 09/16/2022; DBA for Estate Plan Navigator and Premier Solutions; 5 hours per month during trading hours. (6) teachme.to; Non-investment related; 600 B St San Diego, CA 92101; Independent Contractor - Instructor; Start date 10/24/2022; 20 hours per month during trading hours. (7) Business Networking International; Not investment related; 11525 N Community House Rd, # 475, Charlotte, NC, 28277; Referrals; Member/Financial Advisor; Start date 6/28/2023; 2 hr/mo. (8) Health Sherpa; Not investment related; Health Insurance; Sacramento, CA 95812; Agent; Goal is to get people who need health insurance to the website by sharing the link; Start 11/1/2023; 5 hrs./mo. during trading. (9) SyncSciprt; Surveys; Not investment related; Amber, PA; Survey Participant; Participated in surveys for various topic, answer questions about products or services, I chose what surveys to participate in; Start 9/28/2023; 2 hrs./mo. during trading hrs. (10) Matt Kapital; Not investment related; 2670 Meadowood Court, Weston FL 33332; Business Coach; Develop business coaching strategy specifically for architecture firm owners, I will work directly with the firm owner on implementing goal setting, firm organization, negotiating techniques, etc.; Start 6/12/2024; 8 hours/month during trading. (11) Matt Kapital; Not investment related; 2670 Meadowood Court, Weston FL 33332; Author; I will write a book and then give presentations in public speaking engagements, seminars and workshops; Start 5/15/2024; 60 hours/month during trading hours. (12) Abbott Family Insurance; Employee benefits sales; �2189 Cleveland St. #275 �Clearwater, FL 33765; Not investment related; Insurance Representative; Start Date: 7/23/2025; 10 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mathew Brian 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®
NoneExperience
Current
April 27, 2021 - Present
J. W. COLE ADVISORS, INC.
Office #1: 6750 North Andrews Avenue Suite 200, Fort Lauderdale, FL 33309Office #2: 5850 Coral Ridge Unit 303, Coral Springs, FL 33076RIA
CRD#: 112294
Fort Lauderdale, FL
Current
February 1, 2021 - Present
J.W. COLE FINANCIAL, INC.
Office #2: 6750 N. Andrews Ave Suite 200, Ft. Lauderdale, FL 33309BD
CRD#: 124583
Coral Springs, FL
Past
January 13, 2020 - December 18, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
AVENTURA, FL
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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.RR
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
RR
California(2/1/2021)
RR
Florida(2/1/2021)
IAR
Florida(4/27/2021)
RR
Texas(2/16/2023)
IAR
Texas(10/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Fort Lauderdale, FL 33309TRUST BUT VERIFY
Monitor Mathew Kaplan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
