MK
Michael A. Kaup
GLADSTONE WEALTH PARTNERS
MORRISTOWN, NJ
Some features on this profile are disabled
CRD#: 4418599
MK
Professional summary
Michael A Kaup is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Morristown, New Jersey and LPL FINANCIAL LLC located in Morristown, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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. 1/20/2017 - Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/20/2017 - Time Spent 100%. 2. 3/15/2017 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 1/20/2017 - 150 Hours Per Month - I provide investment advisory services through Innovative Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity on 3/9/17. I expect to spend approximately 150 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/15/2017 - Gladstone Institutional Advisory, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 1/20/2017 - 150 Hours Per Month - I provide investment advisory services through Innovative Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity on 3/9/17. I expect to spend approximately 150 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 2/15/2018 - Creative Risk Management, LLC - Investment Related - At Reported Business Location(s) - Property and Casualty - Started 02/01/2017 - 4 Hours Per Month/1 Hour During Securities Trading. 5. 8/17/2020 - Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/30/2017 - 20 Hours Per Month/8 Hours During Securities Trading - Life/Accident/Heath & Property & Casualty. 6. 01/2017 - LPL Financial - broker-dealer registered representative - Investment Related - At Reported Business Location(s) - 80 hours a month during securities trading 7. 02/01/2024 - Jockey Hollow Financial Services, LLC - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 1/30/2017 - 20 Hrs/mo; 8 hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Michael A Kaup'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
January 25, 2017 - Present
GLADSTONE WEALTH PARTNERS
RIA
CRD#: 250787
MORRISTOWN, NJ
Current
January 20, 2017 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
MORRISTOWN, NJ
Past
January 2, 2015 - January 24, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Fairfield, NJ
Past
January 2, 2015 - January 24, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Fairfield, NJ
Past
September 23, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
FAIRFIELD, NJ
Past
July 6, 2001 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
FAIRFIELD, NJ
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".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 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
California(1/20/2017)
RR
Connecticut(1/20/2017)
RR
Delaware(5/27/2022)
RR
Florida(1/20/2017)
RR
Maryland(3/17/2017)
RR
Massachusetts(1/20/2017)
RR
New Jersey(1/20/2017)
IAR
New Jersey(1/25/2017)
RR
New York(1/20/2017)
RR
Ohio(9/23/2020)
RR
Pennsylvania(1/20/2017)
RR
South Carolina(1/20/2017)
RR
Vermont(1/20/2017)
RR
Virginia(12/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
