Career
David Kaplan has been Management Board of Shepherd Kaplan Krochuk since November 2017. David Kaplan is a control person of the firm and directly owns between 10% and 25% of it. David Kaplan studied Literature and Philosophy at the University of Massachusetts Amherst.
Shepherd Kaplan Krochuk, LLC is a Boston, MA firm with $10.9B under management, 213 clients and 15 advisers in one office, as of its March 2026 filing.
SKK describes David Kaplan as an owner and management-board member focused on private wealth and intellectual property, with more than 25 years in investments.
- Shepherd Kaplan Krochuk, LLCCurrent– present · 8 yearsBoston, MA · Adviser representative · Firm CRD 127304
- Shepherd Kaplan LLCAlso current– present · 18 yearsBoston, MA · Adviser representative · Firm CRD 128244
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Massachusetts | Approved | 5 November 2007 |
| Texas | Approved, resident | 2 October 2019 |
- Status
- Approved
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 2 April 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 January 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 December 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 December 1997 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- David Charles Kaplan
- CRD
- 2307318
- Office
- 53 STATE STREET, 23RD FLOOR, Boston, MA 02109-2820
- Firm bio
- skk-llc.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David Kaplan work?
David Kaplan has been Management Board of Shepherd Kaplan Krochuk, LLC since November 2017, and is a control person of the firm.
Is David Kaplan a financial advisor?
Yes. David Kaplan has a current investment-adviser registration in Massachusetts and Texas, through Shepherd Kaplan Krochuk since December 2017.
How many years of experience does David Kaplan have?
David Kaplan has 18 years in the financial industry, since November 2007, across 2 adviser firms.
What exams has David Kaplan passed?
David Kaplan has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in December 1997.
Where is David Kaplan based?
David Kaplan’s registered office is in Boston, MA.