BK
Benjamin Kaplan
FORTHRIGHT CAPITAL ADVISORY
Kapolei, HI
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CRD#: 7287912
BK
Professional summary
Benjamin Kaplan is a registered financial advisor currently at FORTHRIGHT CAPITAL ADVISORY located in Kapolei, Hawaii.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Benjamin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
Name of the other business: AOK Tickets LLC ; Whether the business is investment-related: No ; Address of the other business: 92-1521 Aliinui Dr unit G Kapolei HI 96707 ; Nature of the other business: Other OBA ; Your position, title, or relationship with the other business: Founder ; The start date of your relationship: 12/15/2015 ; The approximate number of hours/month you devote to the other business: 0 ; The number of hours you devote to the other business during securities trading hours: None ; Briefly describe your duties relating to the other business: 'Managed inventory by facilitating the transfer of concert tickets and entertainment passes to fans through online platforms Forthright Capital Partners, LLC, investment related, 7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128, Insurance Agency,InsuranceAgent, Start Date 06/2023, 160 hours per month and 120 during securities trading hours, Solicitation of individual lifeinsurance and fixed annuity products to consumers.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Kaplan'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 25, 2023 - Present
FORTHRIGHT CAPITAL ADVISORY
RIA
CRD#: 323596
Kapolei, HI
Past
May 6, 2021 - July 24, 2023
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Aiea, HI
Past
February 8, 2021 - July 24, 2023
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
AIEA, HI
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".
FC
FORTHRIGHT CAPITAL ADVISORY
BERKOWITZ CAPITAL LLC | TEACHERS' PATH FINANCIAL PLANNING | SMITH'S WEALTH MANAGEMENT | ROWDEN FINANCIAL | RETIRE LAB LLC | PIRSOS INVESTMENT ADVISORY | FORTHRIGHT CAPITAL ADVISORY LLC | FORTHRIGHT CAPITAL ADVISORY
CRD#: 323596 / SEC#: 801-128191
RIA
Registered Investment Advisory firm - (7/25/2023 Approved)Nevada
Registered Investment Advisory firm - (9/29/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/14/2023 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
Hawaii(7/25/2023)
IAR
Washington(7/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/6/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
FC
FORTHRIGHT CAPITAL ADVISORY
BERKOWITZ CAPITAL LLC | TEACHERS' PATH FINANCIAL PLANNING | SMITH'S WEALTH MANAGEMENT | ROWDEN FINANCIAL | RETIRE LAB LLC | PIRSOS INVESTMENT ADVISORY | FORTHRIGHT CAPITAL ADVISORY LLC | FORTHRIGHT CAPITAL ADVISORY
CRD#: 323596 / SEC#: 801-128191
RIA
Registered Investment Advisory firm - (7/25/2023 Approved)Nevada
Registered Investment Advisory firm - (9/29/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/14/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128
Mailing Address
Phone number
(725) 712-3016
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 882 |
| AUM (Assets Under Management) | $ 64,985,533 |
Red Flags
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