Individual Firm
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MICHAEL A KAUP
CRD#: 4418599
IA
B
GLADSTONE WEALTH PARTNERSCRD#: 250787 MORRISTOWN, NJ
LPL FINANCIAL LLCCRD#: 6413 MORRISTOWN, NJ
0
Disclosures
23
Years of Experience
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State Registrations
B
California 1/20/2017
IA
New Jersey 1/25/2017
B
Connecticut 1/20/2017
B
New York 1/20/2017
B
Delaware 5/27/2022
B
Ohio 9/23/2020
B
Florida 1/20/2017
B
Pennsylvania 1/20/2017
B
Maryland 3/17/2017
B
South Carolina 1/20/2017
B
Massachusetts 1/20/2017
B
Vermont 1/20/2017
B
New Jersey 1/20/2017
B
Virginia 12/16/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2015 - 01/24/2017 | Fairfield, NJ | |
B | 01/02/2015 - 01/24/2017 | Fairfield, NJ | |
IA | 09/23/2009 - 01/02/2015 | FAIRFIELD, NJ | |
B | 07/06/2001 - 01/02/2015 | FAIRFIELD, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.