Samuel E. Kaplowitz
BREACHWAY INVESTMENTS
West Hartford, CT 06107
CRD#: 5973521
Professional summary
Samuel Elias Kaplowitz, who also goes by S E Kaplowitz, Sam Kaplowitz, is a registered financial advisor currently at BREACHWAY INVESTMENTS, LLC located in West Hartford, Connecticut.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Samuel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
S E Kaplowitz | Sam Kaplowitz
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.
I*781232 For profit or not for profit: Entity For Profit Name of outside business organization: Single Member LLC Investment related: N Address of business: cheshire, Connecticut, 06410 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 4/4/2022 Number of hours devoted: 3 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , house flipping business hiring general contractors to flip houses, profits will be reinvested into the business, hours during work week 0, hours weekly 3. no use of my licenses for this position. seeking pre approval before setting up llc and proceeding. I do not intend to rent the property out to obtain rental income. I will be the member of the single member llc- there are no partners or other members. I will not hold directorship or other governance role ie any board, officer, committee, advisory board, or similar position.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Elias Kaplowitz'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, 2023 - Present
BREACHWAY INVESTMENTS, LLC
Office #1: 71 Raymond Road, West Hartford, CT 06107RIA
CRD#: 299102
West Hartford, CT
Past
March 17, 2016 - April 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST HARTFORD, CT
Past
November 1, 2012 - April 3, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST HARTFORD, CT
Past
October 10, 2011 - October 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHESHIRE, CT
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".
BREACHWAY INVESTMENTS, LLC
BREACHWAY INVESTMENTS, LLC
CRD#: 299102 / SEC#: 801-128891
RIA
Registered Investment Advisory firm - (10/16/2023 Approved)Connecticut
Registered Investment Advisory firm - (10/19/2023 Terminated)Florida
Registered Investment Advisory firm - (10/18/2023 Terminated)Massachusetts
Registered Investment Advisory firm - (10/18/2023 Terminated)New York
Registered Investment Advisory firm - (1/4/2022 Terminated)Rhode Island
Registered Investment Advisory firm - (10/18/2023 Terminated)Texas
Registered Investment Advisory firm - (10/18/2023 Terminated)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
Connecticut(3/31/2023)
IAR
Texas(3/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BREACHWAY INVESTMENTS, LLC
BREACHWAY INVESTMENTS, LLC
CRD#: 299102 / SEC#: 801-128891
RIA
Registered Investment Advisory firm - (10/16/2023 Approved)Connecticut
Registered Investment Advisory firm - (10/19/2023 Terminated)Florida
Registered Investment Advisory firm - (10/18/2023 Terminated)Massachusetts
Registered Investment Advisory firm - (10/18/2023 Terminated)New York
Registered Investment Advisory firm - (1/4/2022 Terminated)Rhode Island
Registered Investment Advisory firm - (10/18/2023 Terminated)Texas
Registered Investment Advisory firm - (10/18/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4259 Old Post Road, Charlestown, RI 02813
Mailing Address
Po Box 1199, Charlestown, RI 02813
Phone number
(860) 709-0909
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 403 |
| AUM (Assets Under Management) | $ 131,255,814 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
