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Benjamin Joseph Kaup

PROSPERITY CAPITAL ADVISORS
Stuart, NE
·CRD# 6095946·8 years experience

Professional Summary

Benjamin Joseph Kaup is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Stuart, Nebraska. Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Benjamin has worked at 4 firms and has passed the Series 66, SIE 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

8 years in the financial services industry

Current & Past Employments

PROSPERITY CAPITAL ADVISORS·CRD# 156480
RIA
113 N. Main St, Po Box 265, Stuart, NE 68780
July 24, 2024 - Present
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Stuart, NE
October 30, 2023 - July 22, 2024
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Stuart, NE
September 20, 2019 - July 22, 2024
SUMMIT BROKERAGE SERVICES, INC.·CRD# 34643
BD
Stuart, NE
October 1, 2018 - September 20, 2019

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Current Firm

PC
PROSPERITY CAPITAL ADVISORS

C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - SEC (3/22/2011 Approved)

Contact Information

Main Address

30400 Detroit Road Suite 201, Westlake, OH 44145

Phone Number

(888) 240-0064

# of Employees

244

SEC notice filing (42 States and Territories)

Registered to provide investment advisory services in 42 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PCA PART 2A 2026 (3/23/2026)

Regulatory Assets Under Management

Total Number of Accounts

16,541

AUM (Assets Under Management)

$4,385,706,161

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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.

1) Ben Kaup is a licensed insurance agent conducting business from his registered location. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Kaup spends approx. 10 hrs/week during trading hours on this activity. 2) Ben Kaup is the owner of Kaup's Tax Advisors P.C. which is a tax preparation and accounting firm operating under the d.b.a. Kaup's Tax & Wealth Management. Mr. Kaup spends approximately 10 hours per month on this activity during trading hours. This is not an investment related activity. 3) Ben Kaup is the Vice President for the Stuart Community Club which is a local community organization. His role includes attending meetings and assisting with community events. Mr. Kaup spends less than one hour per week on this activity during non-trading hours. This is not an investment related activity. 4) Ben Kaup is the Vice President of Kaup's Insurance and Investments, Inc. d.b.a. Kaup's Tax and Wealth Management which is a management and holding company for their tax, insurance and advisory business. This entity handles the day to day operations of their business. Mr. Kaup spends approximately 30 hours per week on this activity during trading hours. 5) Ben Kaup is the owner of SAB Enterprises, LLC. This entity owns agricultural real estate. Mr. Kaup spends less than one hour per month on this activity during non-trading hours. This is not an investment related activity. 6) Ben Kaup is co-owner of JETS, LLC. This entity owns commercial real estate. Mr. Kaup spends less than one hour per month on this activity during non-trading hours. This is not an investment related activity.

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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".
PC
PROSPERITY CAPITAL ADVISORS

C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS

CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - SEC (3/22/2011 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.
IAR
Iowa
(7/26/2024)
IAR
Nebraska
(7/24/2024)
IAR
South Dakota
(7/29/2024)
IAR
Texas
(7/26/2024)

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

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

Series 66 — Uniform Combined State Law Examination

Passed Oct 2023About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2018About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Joseph Kaup's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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