Securities Licensing Faculty

Prior to joining Kaplan, Adam has worked in many different areas in the securities industry. He started his career as a trading floor clerk on the Philadelphia Stock Exchange and subsequently became an institutional trader, compliance officer, financial and operations principal, chief financial officer, and chief operating officer at both NYSE and CBOE member firms. Adam has also contributed as a member of the OCC's Option Symbology Initiative.

Adam was awarded his BS degree in economics from Brigham Young University and MS in Accountancy from California State University, Sacramento.

William has been a guest lecturer around the world on the topics of commodity futures and securities brokerage licensure, supervision, and regulation. William is currently a senior writer/editor for Kaplan Financial and is responsible for the ongoing development of Kaplan’s Series 4, 9/10, 52 and 53 product lines.

William currently holds the Series 4, 7, 12, 14, 24, 27, 53 and 55 licenses. He worked as a NYSE Trading Floor employee, an allied member of the NYSE, compliance officer and FINOP for member firms. William lived in Europe for several years and is conversationally fluent in Finnish and German.

Chuck earned his BS degree in commerce and economics from the University of Vermont in 1963. In 1967, after a stint in the military, Chuck entered the securities training industry. He formed the Investment Training Institute, Inc., in 1969 after serving as vice-president of sales and registered principal for a broker/dealer subsidiary of a major life insurance company.

Chuck is one of the four original life members of the Financial Planning Association and has served on that organization’s national board, as well as the Board of Regents of the College for Financial Planning. During his long career, it is estimated that Chuck has personally trained over 150,000 students and continues to share his extensive experience and knowledge with both student and instructor alike.

Over fifteen years ago he took on the role of instructor for Kaplan School of Professional and Continuing Education in the financial services department. After selling his practice in 2019 he came to work for Kaplan as a Subject Matter Expert, helping develop content for Kaplan’s professional development courses. “The work I do for Kaplan, helping the next generation of financial professionals, is extremely rewarding,” states Jim, “The opportunity to share my passion about the industry that has been such a tremendous part of my adult life is truly energizing.”