Remote testing appointments are now available for the SIE, Series 6, Series 7, Series 63, Series 65, and Series 66 qualification exams.  Schedule Your Exam »

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.

Adam James

Securities Product Manager

Adam is Kaplan’s securities product manager. Adam joined Kaplan in 2013 where he was a subject matter expert for the Series 27/28, 55, 79, and 99 exams and an instructor for the Series 6, 7, 63, and 65/66 exam.

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 James

Senior Content Specialist

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 Lowenstein

Senior Editor

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.

Morgan Simpson

Content Specialist

Morgan Simpson has been in the securities industry since 1974 trading institutional equities and options.  Morgan started as a Registered Representative of the NYSE and on the trading desk of W. H. Newbold’s, America’s oldest brokerage firm. In 1977, he became a member of the Philadelphia Stock Exchange as a Registered Options Trader and as a Registered Options Specialist in ALD, BUD, MDR, ASH, PPG, AV, EFU and ABT plus several others.  Mr. Simpson became a Member of the Foreign Currency Participation in 1982, and a Registered Foreign Currency Options Trader in 1983 and then Vice President Foreign Currency Options in 1985. He also served as a Member of the Philadelphia Board of Trade since 1984.

Morgan Simpson and his associates at Radnor Research & Trading Co. rang the bell of the New York Stock Exchange on January 17th, 2007 and March 14th, 2016. Morgan has been a guest on the syndicated television show Money Matters regarding many different aspects of trading issues and algorithms.

Morgan Simpson holds the following licenses:

  • Series 7 Registered Representative
  • Series 63 Uniform Securities State Agent
  • Series 55 Equity Trader
  • Series 24 General Securities Principal
  • Series 4 Registered Options Principal
  • Series 65 Uniform Investment
  • Series 9/10 NYSE Branch Manager
  • SF NFA Single Stock Futures.

He has been an allied member of the NYSE MKT, NYSE AMEX Options US and ARCA and worked as a New York Stock Exchange allied member and trading floor principal.

On a personal note, Mr. Simpson is married with two children. He is an instrument rated pilot and has played the piano at Carnegie Hall in New York City.

Jim Heitman

Content Specialist

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.”

Get Started

Choose the series exam you are preparing for to get started.

Student Experience

Discover why over 72,000 students trusted Kaplan to prepare for their qualification exams in 2018.