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Kenneth A Rubin

HOUSE CAPITAL ADVISORS
NAPLES, FL
·CRD# 3158015·27 years experience

Professional Summary

Kenneth A Rubin is a registered financial advisor currently at HOUSE CAPITAL ADVISORS, LLC located in Naples, Florida. Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

HOUSE CAPITAL ADVISORS, LLC·CRD# 289898
RIA
Naples, FL
January 17, 2018 - Present
OPPENHEIMER & CO. INC.·CRD# 249
RIA
Danbury, CT
July 29, 2008 - April 5, 2016
OPPENHEIMER & CO. INC.·CRD# 249
BD
Danbury, CT
January 31, 2008 - April 5, 2016
MORGAN STANLEY & CO. LLC·CRD# 8209
RIA
Ridgefield, CT
April 2, 2007 - January 29, 2008
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
Ridgefield, CT
April 2, 2007 - January 29, 2008
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Danbury, CT
August 18, 1999 - April 2, 2007
MORGAN STANLEY DW INC.·CRD# 7556
BD
Danbury, CT
March 11, 1999 - April 2, 2007

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Current Firm

HC
HOUSE CAPITAL ADVISORS, LLC

FBASE FINANCIAL, LLC | HOUSE CAPITAL ADVISORS, LLC

CRD#: 289898
California
Registered Investment Advisory firm - California (1/10/2024 Terminated)
Florida
Registered Investment Advisory firm - Florida (1/17/2018 Approved)
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).

Contact Information

Main Address

Naples, FL

Phone Number

(203) 733-5928

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

18

AUM (Assets Under Management)

$14,550,669

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Feb 1999About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jan 1999About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Kenneth A Rubin's CRS (Customer Relationship Summary).

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