Securities Licensing Faculty
Kaplan’s securities faculty consists of close to 50 proficient financial services professionals who not only teach, but bring significant industry experience. They bring their relevant and timely real-world knowledge into the classroom, and their enthusiasm is unparalleled.
William joined the Kaplan team in 1987 as a Series 7 and Series 8 instructor in the Northeast Region. He was shortly after appointed National Training Director to oversee the recruiting, training, and continuing education of securities instructors throughout the United States.
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 is currently the subject matter expert for the Series 63, 65, and 66 examination courses. Prior to that, he served as Regional Training Director for the Southeast Region.
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.
Jim Heitman, CFP® has over 32 years of experience in the financial services industry. The first twenty years of his career were with broker dealer firms in a variety of capacities from registered representative to firm principal for both small firms and an NYSE firms. Until late 2019 he was the owner and principal of a fee-only investment advisory focused on comprehensive planning and portfolio management. He also writes on financial planning topics and consults within the industry.
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.”
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