Theodore N. Kaplan

MJP WEALTH ADVISORS

West Hartford, CT 06110

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CRD#: 1063188

Professional summary

Theodore Nathan Kaplan is a registered financial advisor currently at MJP WEALTH ADVISORS located in West Hartford, Connecticut and ARETE WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.

Theodore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Theodore has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. KAPLAN INSURANCE GROUP LLC: 433 S MAIN ST, WEST HARTFORD CT 06110; OWNER; INSURANCE SALES; 100 HRS/MTH. 2. MJP ASSOCIATES, INC., REGISTERED INVESTMENT ADVISOR,790 FARMINGTON AVE, FARMINGTON, CT 06032,INVESTMENT ADVISORY, INVESTMENT ADVISOR, INVESTMENT ADVISOR, 7/2006, 10HRS PER WEEK, 10HRS PER WEEK, WORK IN THE CAPACITY OF AN INVESTMENT ADVISOR TO VARIOUS CLIENTS. 3. KAPLAN INSURANCE GROUP LLC WITH WENTWORTH DE-ANGELIS INC: NOT INVESTMENT RELATED; 20 BATTERSON PARK RD, FARMINGTON CT 06032; INSURANCE SALES; AGENT; 16 HRS/MTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Nathan Kaplan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 14, 2010 - Present

MJP WEALTH ADVISORS

Office #1: 433 South Main Street, West Hartford, CT 06110

RIA

CRD#: 127654

West Hartford, CT

Current

March 29, 2018 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 74 Batterson Park Road Suite 103, Farmington, CT 06032

CRD#: 44856

Farmington, CT

Past

April 20, 2011 - April 5, 2017

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FARMINGTON, CT

Past

February 23, 2006 - April 4, 2018

OSAIC WEALTH, INC.

CRD#: 23131

FARMINGTON, CT

Past

January 23, 2001 - January 31, 2006

UNDERWRITERS EQUITY CORPORATION

CRD#: 36537

FARMINGTON, CT

Past

July 24, 1996 - January 4, 2001

TNK ASSOCIATES, INC.

CRD#: 41182

FARMINGTON, CT

Past

November 24, 1989 - December 11, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - August 13, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 20, 1983 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MJP WEALTH ADVISORS

MJP ASSOCIATES, INC. | MJP WEALTH ADVISORS

CRD#: 127654 / SEC#: 801-63389

RIA

Registered Investment Advisory firm - (9/1/2004 Approved)

Connecticut

Registered Investment Advisory firm - (9/1/2004 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/13/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(12/14/2010)

Connecticut
(3/29/2018)

New Jersey
(6/5/2024)

New York
(10/4/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MJP WEALTH ADVISORS

MJP ASSOCIATES, INC. | MJP WEALTH ADVISORS

CRD#: 127654 / SEC#: 801-63389

RIA

Registered Investment Advisory firm - (9/1/2004 Approved)

Connecticut

Registered Investment Advisory firm - (9/1/2004 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/13/2007 Terminated)

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Contact information

Main Address

74 Batterson Park Rd Suite 103, Farmington, CT 06032

Mailing Address

Phone number

(860) 677-7755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MJP FORM ADV BROCHURE 9/2/25 (9/2/2025)

Regulatory assets under management

Total Number of Accounts	2,804
AUM (Assets Under Management)	$ 1,319,055,891

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Theodore N. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Nathan Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

UNDERWRITERS EQUITY CORPORATION

TNK ASSOCIATES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

MJP WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2010

Series 63

Date: 10/10/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 24

Date: 7/16/1996

FINRA

Current Firm

MJP WEALTH ADVISORS

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MJP WEALTH ADVISORS

TRUST BUT VERIFY

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