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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-09-05 |
Branch Locations
100 Meridian Centre Blvd Suite 200, Rochester, NY 14618 • United States
100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-17 |
| NY | RA | APPROVED | 2021-06-22 |
Branch Locations
100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618 • United States
100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-25 |
Branch Locations
100 Meridian Centre Blvd. Suite 200, Rochester, NY 14618 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Global Capital Corp | Rochester | NY | 01/2001 | 10/2019 |
| Dkcb Financial Advisors, Llc | Rochester | NY | 01/2001 | Present |
| Avantax Insurance Services, Inc. | Rochester | NY | 03/2006 | 09/2025 |
| 1St Global Advisors, Inc. | Rochester | NY | 06/2007 | 10/2019 |
| Davie Kaplan, Cpa, P.C. | Rochester | NY | 08/2007 | Present |
| Davie Kaplan Wealth Care Advisors, Llc | Rochester | NY | 09/1999 | Present |
| Avantax Investment Services, Inc. | Rochester | NY | 10/2019 | 09/2025 |
| Avantax Advisory Services | Rochester | NY | 10/2023 | 09/2025 |
| Cetera Wealth Services, Llc | Rochester | NY | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) J.R. THIRD PARTY SUPPLEMENTAL NEEDS TRUST POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 2/19/2010 DESCRIPTION: Trustee duties 2) DAVIE KAPLAN, CPA, P.C. POSITION: AFFILIATED PARTNER, NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/01/2007 DESCRIPTION: CPA FIRM 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC POSITION (RIA): INVESTMENT ADVISOR REPRESENTATIVE NATURE: RIA INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 3/2001 DESCRIPTION: Financial planning 4) A.C.G. INSURANCE TRUST POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 2/26/2010 DESCRIPTION: Trustee duties 5) DKCB FINANCIAL ADVISORS, LLC POSITION: REGISTERED INVESTMENT IAR, NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: NULL START DATE: 01/01/2001 DESCRIPTION: REFERRAL - REFER HIGH NET WORTH CLIENTS TO RIA AS APPROPRIATE 6) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (INSURANCE) POSITION: ADVISOR, NATURE: INSURANCE OFFERING INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/04/2016 ADDRESS: 1000 FIRST FEDERAL PLAZA, ROCHESTER NY , UNITED STATES DESCRIPTION: - CONDUCTS INSURANCE SALES/REFERRALS 7) DAVIE KAPLAN WEALTH CARE ADVISORS (FORMERLY DKCB WEALTH CARE ADVISORS, LLC); REFERRING ADVISOR, NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 09/1999; ROCHESTER NY 14614, US;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-02-07 |
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