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James Simpson Kaplan

National Investment Services OF America, LLC

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About James Simpson Kaplan

James Kaplan is a financial advisor who has been working in the industry since 1986. James has a wide range of experience, having worked with William Blair & Company L.L.C., First Union Capital Markets Corp., and First Union Brokerage Services, Inc. He is currently registered as a Registered Representative and Investment Adviser Representative with National Investment Services of America, LLC. James holds the Series 7, Series 24, and Series 63 licenses, and he is also a Chartered Financial Analyst. His specializations include portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.

Firm Information

James Kaplan is currently registered with National Investment Services OF America, LLC. National Investment Services OF America, LLC is a Milwaukee, WI-based investment advisor with approximately $9.85 billion in regulatory assets under management. The firm provides portfolio management services for businesses, individuals, investment companies, and pooled investment vehicles. The firm serves a variety of client types including corporations, individuals, charitable organizations, pension and profit sharing plans, state and municipal government entities, and investment companies.
National Investment Services OF America, LLC

777 EAST WISCONSIN AVENUE, SUITE 2350

MILWAUKEE, WI 53202

$9.85B

Assets Under Management

Not reported

Total Clients

14

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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James Kaplan’s Registration & Firm History

WI

03/02/2020 - Present

National Investment Services OF America, LLC (MILWAUKEE WI)

IL

07/05/1994 - 12/31/2008

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

NC

01/13/1989 - 11/01/1994

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NA

04/29/1986 - 01/25/1989

FIRST UNION BROKERAGE SERVICES, INC.

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Licenses & Designations

BC

Issued 06/02/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2004

Series 24 - General Securities Principal Examination

BC

Issued 04/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Simpson Kaplan.
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