CK
Craig R. Kapp
STRATEGIC ADVISERS LLC
CLINTON, UT
Some features on this profile are disabled
CRD#: 2314109
CK
Professional summary
Craig R. Kapp, who also goes by Craig R Kapp, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Clinton, Utah and FIDELITY BROKERAGE SERVICES LLC located in Salt Lake City, Utah.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Craig has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig R Kapp
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Craig R. Kapp's 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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 49 North 400 West, Salt Lake City, UT 84101RIA
CRD#: 104555
CLINTON, UT
Current
February 4, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 49 North 400 West, Salt Lake City, UT 84101BD
CRD#: 7784
Salt Lake City, UT
Past
February 17, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
May 6, 2020 - January 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SALT LAKE CITY, UT
Past
May 6, 2020 - January 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SALT LAKE CITY, UT
Past
May 15, 2017 - April 22, 2020
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
MIDVALE, UT
Past
May 15, 2017 - April 22, 2020
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
MIDVALE, UT
Past
October 3, 2014 - December 31, 2016
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
NORTH SALT LAKE, UT
Past
October 1, 2014 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
NORTH SALT LAKE, UT
Past
February 15, 2008 - September 26, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SALT LAKE CITY, UT
Past
January 1, 2008 - September 25, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
March 30, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SALT LAKE CITY, UT
Past
January 27, 2006 - April 27, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 23, 2002 - January 25, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
March 3, 1993 - October 23, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
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
RR
Alabama(2/7/2022)
RR
Alaska(2/7/2022)
RR
Arizona(2/7/2022)
RR
Arkansas(2/7/2022)
RR
California(2/7/2022)
RR
Colorado(2/7/2022)
RR
Connecticut(2/7/2022)
RR
Delaware(2/7/2022)
RR
District of Columbia(2/7/2022)
RR
Florida(2/7/2022)
RR
Georgia(2/7/2022)
RR
Hawaii(2/7/2022)
RR
Idaho(2/7/2022)
RR
Illinois(2/7/2022)
RR
Indiana(2/7/2022)
RR
Iowa(2/7/2022)
RR
Kansas(2/7/2022)
RR
Kentucky(2/7/2022)
RR
Louisiana(2/7/2022)
RR
Maine(2/7/2022)
RR
Maryland(2/7/2022)
RR
Massachusetts(2/7/2022)
RR
Michigan(2/7/2022)
RR
Minnesota(2/7/2022)
RR
Mississippi(2/7/2022)
RR
Missouri(2/7/2022)
RR
Montana(2/7/2022)
RR
Nebraska(2/7/2022)
RR
Nevada(2/7/2022)
RR
New Hampshire(2/7/2022)
RR
New Jersey(2/7/2022)
RR
New Mexico(2/7/2022)
RR
New York(2/7/2022)
RR
North Carolina(2/7/2022)
RR
North Dakota(2/7/2022)
RR
Ohio(2/8/2022)
RR
Oklahoma(2/7/2022)
RR
Oregon(2/7/2022)
RR
Pennsylvania(2/7/2022)
RR
Puerto Rico(2/7/2022)
RR
Rhode Island(2/7/2022)
RR
South Carolina(2/7/2022)
RR
South Dakota(2/7/2022)
RR
Tennessee(2/7/2022)
RR
Texas(2/7/2022)
IAR
Texas(3/31/2025)
RR
Utah(2/4/2022)
IAR
Utah(3/31/2025)
RR
Vermont(2/7/2022)
RR
Virginia(2/7/2022)
RR
Washington(2/7/2022)
RR
West Virginia(2/7/2022)
RR
Wisconsin(2/7/2022)
RR
Wyoming(2/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
