Joshua A. Kaplan
Professional summary
Joshua Andrew Kaplan, CFP®, who also goes by Joshua Kaplan, is a registered financial advisor currently at ARMSTRONG, FLEMING & MOORE, INC. located in Washington, District Of Columbia and COMMONWEALTH FINANCIAL NETWORK located in Washington, District Of Columbia.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Joshua has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Andrew Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2024 - Present
ARMSTRONG, FLEMING & MOORE, INC.
Office #1: 1800 M Street Nw #1010-s, Washington, DC 20036December 19, 2020 - Present
COMMONWEALTH FINANCIAL NETWORK
Office #1: 1800 M Street Northwest Suite 1010-s, Washington, DC 20036Primary Firm SEC Registration
ARMSTRONG, FLEMING & MOORE, INC.
CRD#: 107347 / SEC#: 801-38960
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2021)
(5/28/2024)
(4/18/2024)
(1/4/2021)
(4/18/2024)
Exams
Series 7TO
Date: 12/19/2020
General Securities Representative ExaminationFINRA
Current Firm
ARMSTRONG, FLEMING & MOORE, INC.
CRD#: 107347 / SEC#: 801-38960
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,746 |
| AUM (Assets Under Management) | $ 1,117,580,783 |
Red Flags
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