BK
Benjamin J. Kaup
PROSPERITY CAPITAL ADVISORS
Stuart, NE 68780
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CRD#: 6095946
BK
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.
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) NAME OF OTHER BUSINESS: KAUPS TAX ADVISORS P.C ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PREPARATION & ACCOUNTING ; START DATE: 10/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER / CPA ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURNS ; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, Property and Casualty, ANNUITIES AND LONG TERM CARE ; 3) NAME OF OTHER BUSINESS: STUART COMMUNITY CLUB ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: COMMUNITY ORGANIZATION ; START DATE: 10/2019 ; POSITION/TITLE/RELATIONSHIP: Vice President ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND ASSIST WITH COMMUNITY EVENTS 4) NAME OF OTHER BUSINESS: KAUP'S FINANCIAL ADVISORS, INC. INVESTMENT RELATED: YES, ADDRESS: 113 N MAIN STREET, STUART, NE 68780 NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2017, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: KAUP'S INSURANCE & INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: Management and holding company for their tax, insurance and advisory business; START DATE: 05/2017; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: Entity manages day to day to operations. 6) Mr. 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. 7) Mr. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Joseph 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
July 24, 2024 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 113 N. Main St, Po Box 265, Stuart, NE 68780RIA
CRD#: 156480
Stuart, NE
Past
October 30, 2023 - July 22, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STUART, NE
Past
September 20, 2019 - July 22, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
STUART, NE
Past
October 1, 2018 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
STUART, NE
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 - (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.Highlighted states indicate IAR registrations
IAR
Iowa(7/26/2024)
IAR
Nebraska(7/24/2024)
IAR
South Dakota(7/29/2024)
IAR
Texas(7/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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 - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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