Kenneth A. Rubin

HOUSE CAPITAL ADVISORS

Naples, FL

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CRD#: 3158015

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.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth A Rubin'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®

None

Experience

Current

January 17, 2018 - Present

HOUSE CAPITAL ADVISORS, LLC

RIA

CRD#: 289898

Naples, FL

Past

July 29, 2008 - April 5, 2016

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DANBURY, CT

Past

January 31, 2008 - April 5, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

DANBURY, CT

Past

April 2, 2007 - January 29, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

RIDGEFIELD, CT

Past

April 2, 2007 - January 29, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

RIDGEFIELD, CT

Past

August 18, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DANBURY, CT

Past

March 11, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

DANBURY, CT

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.

Highlighted states indicate IAR registrations

IAR

Florida
(1/17/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/12/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/8/1999

General Securities Representative Examination

Current Firm

HOUSE CAPITAL ADVISORS, LLC

FBASE FINANCIAL, LLC | HOUSE CAPITAL ADVISORS, LLC

CRD#: 289898 / SEC#:

California

Registered Investment Advisory firm - (1/10/2024 Terminated)

Florida

Registered Investment Advisory firm - (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).

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Contact information

Main Address

Naples, FL

Mailing Address

Phone number

(203) 733-5928

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 10,954,310

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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Firm Stability Insights

Kenneth A. Rubin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/1/1999

Series 63

Date: 1/19/1999

SIE

Date: 4/5/2016

Series 31

Date: 2/12/1999

Series 7

Date: 1/8/1999

Current Firm

HOUSE CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOUSE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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