Jocelyn R. Kaplan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jocelyn Rae Kaplan, CFP® was a registered financial professional .
Jocelyn is a previously registered financial professional and started their career in finance in 1981. Jocelyn had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1982
Experience
November 25, 2008 - December 10, 2013
ADVISORS FINANCIAL, INC.
October 28, 1988 - July 5, 2012
CADARET, GRANT & CO., INC.
August 11, 1987 - November 25, 2008
JRKAPLAN, INC.
October 29, 1984 - November 17, 1988
FOCUS SECURITIES, INC.
August 6, 1984 - November 7, 1984
VOSS & CO., INC.
February 17, 1984 - July 24, 1984
CARDELL & ASSOCIATES, INCORPORATED
March 6, 1981 - November 21, 1983
CARDELL & ASSOCIATES, INCORPORATED
Primary Firm SEC Registration
ADVISORS FINANCIAL, INC.
CRD#: 144837 / SEC#: 801-80263
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ADVISORS FINANCIAL, INC.
CRD#: 144837 / SEC#: 801-80263
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 701 |
| AUM (Assets Under Management) | $ 292,512,099 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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