Jocelyn Rae Kaplan
CFP®Professional Summary
Jocelyn Rae Kaplan, CFP® was a registered financial advisor. Jocelyn was a previously registered financial professional and started their career in finance 1981 - 2013. Jocelyn had worked at 6 firms and has passed the Series 63, Series 7, Series 22, 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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
45 years in the financial services industry
Current & Past Employments
Past
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Current Firm
ADVISORS FINANCIAL PARTNERS, INC. | ADVISORS FINANCIAL, INC.
Contact Information
Main Address
8201 Greensboro Drive Suite 415, Mclean, VA 22102Phone Number
(703) 883-0300# of Employees
7SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
723AUM (Assets Under Management)
$321,172,446Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
ADVISORS FINANCIAL PARTNERS, INC. | ADVISORS FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Mar 1981About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1981About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 1996About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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