Nicholas M. Kaplan

CORNERSTONE WEALTH MANAGEMENT

Westlake, OH 44145

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CRD#: 7319571

Professional summary

Nicholas Michael Kaplan, CFP®, who also goes by Nicholas Kaplan, is a registered financial advisor currently at CORNERSTONE WEALTH MANAGEMENT located in Westlake, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas 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.

Self-Employed Tax Preparation for friends. April 2020 to present Devotes 10 hours per year, 0 of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Michael Kaplan's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

July 28, 2022 - Present

CORNERSTONE WEALTH MANAGEMENT

Office #1: 27366 Center Ridge Road, Westlake, OH 44145

RIA

CRD#: 106950

Westlake, OH

Past

December 21, 2020 - July 6, 2022

MAI CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109807

CLEVELAND, OH

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".

CORNERSTONE WEALTH MANAGEMENT

CORNERSTONE WEALTH MANAGEMENT | GOMERSALL DAVID ALAN | DAVID A. GOMERSALL, ADVISOR | DAGCO, INC. DBA CORNERSTONE WEALTH MANAGEMENT | DAGCO, INC.

CRD#: 106950 / SEC#: 801-51066

RIA

Registered Investment Advisory firm - (2/1/1996 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(7/28/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

CORNERSTONE WEALTH MANAGEMENT

CORNERSTONE WEALTH MANAGEMENT | GOMERSALL DAVID ALAN | DAVID A. GOMERSALL, ADVISOR | DAGCO, INC. DBA CORNERSTONE WEALTH MANAGEMENT | DAGCO, INC.

CRD#: 106950 / SEC#: 801-51066

RIA

Registered Investment Advisory firm - (2/1/1996 Approved)

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Contact information

Main Address

27366 Center Ridge Road, Westlake, OH 44145

Mailing Address

Phone number

(440) 899-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORNERSTONE WEALTH MANAGEMENT FORM ADV PART 2A (4/3/2025)

Regulatory assets under management

Total Number of Accounts	1,049
AUM (Assets Under Management)	$ 518,388,665

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/08/2025	Cover Page	Report
10/18/2024	Cover Page	Report
06/12/2023	Cover Page	Report
06/12/2023	Cover Page	Report

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.

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Nicholas M. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Michael Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE WEALTH MANAGEMENT

MAI CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

CORNERSTONE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Current Firm

CORNERSTONE WEALTH MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CORNERSTONE WEALTH MANAGEMENT

TRUST BUT VERIFY

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