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Benjamin Joseph Kaup

Advisor at Prosperity Capital Advisors — Stuart, NE

Updated today

Credentials

Series 66

Experience

8 years

Location

Stuart, NE 68780

Prosperity Capital Advisors logo

Prosperity Capital Advisors

Multi-team

Total advisors

99

Across 51 offices

Clients per advisor

74 High

Avg AUM per client

$506,095 Typical

HNW client ratio

13% Low

About

Benjamin Kaup is a financial advisor with Prosperity Capital Advisors and holds a Series 66 credential. He has eight years of industry experience, including positions at CETERA Advisor Networks LLC and Summit Brokerage Services, Inc. Kaup is also a CPA and owner of a tax preparation and accounting firm. He serves as Vice President of the Stuart Community Club, a local community organization. Prosperity Capital Advisors provides financial planning, consulting, and discretionary investment management to individual and high-net-worth clients, corporations, trustees, and retirement plans. The firm employs model-based, asset-allocation strategies with portfolio supervision and offers services such as separately managed accounts and retirement plan management.

Client services

Based on Prosperity Capital Advisors

Financial planning Portfolio management Selection of other advisers Educational seminars or workshops

Expertise

Based on Prosperity Capital Advisors

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k)

Occupation focus

Based on Prosperity Capital Advisors

Founder/Business Owner Executive

Demographic focus

Based on Prosperity Capital Advisors

HENRY (High Earners, Not Rich Yet)

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Fee options

Fixed

Fixed fees typically range from $500 to $50,000 for financial planning and consulting services; fees for seminars range from $0 to $250.

Percentage

$0 - $499,999: 0.50% (50 basis points) $500,000 - $999,999: 0.40% (40 basis points) $1,000,000 - $1,999,999: 0.30% (30 basis points) $2,000,000 - $4,999,999: 0.25% (25 basis points) $5,000,000+: 0.20% (20 basis points)

Commissions

Certain supervised persons may earn commissions through unaffiliated broker-dealers for insurance or securities products.

Project-based

Typically $100 to $1,000 per hour for financial planning and consulting services.

Subscriptions

Subscription fees may range from $100 to $2,500 monthly for financial planning and consulting services; administrative fees for client directed assets is $150/year billed monthly.

Other

Account minimum: $1,000 to $250,000 depending on the advisory services selected Minimum fee: $150 minimum annual investment management fee charged monthly Fee-only: Financial planning, consulting, and other services fees negotiable; typically $100 to $1,000 per hour, $100 to $2,500 monthly fee, or fixed fee of $500 to $50,000; subscription-based fees may apply for certain services.

Location

See office

Stuart, NE

113 N. Main St, Po Box 265

Stuart NE 68780

Advisors at this office

2

Most active in

Iowa · Nebraska · South Dakota · Texas

Work history

8 years of industry experience

C2P Capital Advisory Group, LLC dba Prosperity Capital Advisors

2024 - Present • 2 years

Westlake, OH

CETERA Advisor Networks LLC

2019 - 2024 • 5 years

Stuart, NE

Summit Brokerage Services, Inc.

2017 - 2019 • 2 years

Stuart, NE

Kaup's Tax & Wealth Management (d.b.a. for advisory business)

2017 - Present • 9 years

Stuart, NE

Lutz

2015 - 2017 • 2 years

Omaha, NE

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Scott K

CFP®, Series 63

Stuart, NE

Prosperity Capital Advisors

Scott Kaup is a financial advisor at Prosperity Capital Advisors with 45 years of experience. He holds the CFP® designation and Series 63 license. His career includes tenure at firms such as Cetera and Summit Financial Group, and he has operated Kaup's Tax & Wealth Management since 1985. Outside of advisory work, he serves as treasurer for the Stuart/Atkinson Airport Authority and the Sand Dollar Road District #2 in South Dakota. Prosperity Capital Advisors is an SEC-registered enterprise adviser offering financial planning, consulting, and discretionary investment management to individual and high-net-worth clients, corporations, trustees, retirement plans, and other RIAs. The firm employs model-based, asset-allocation strategies with ongoing portfolio supervision, using a range of third-party providers and sub-advisors, and provides access to alternative and structured investments through various platforms.

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive HENRY (High Earners, Not Rich Yet)
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Connor O

Series 66

Atkinson, NE

LPL Financial

Connor Osborne is a financial advisor with LPL Financial and holds the Series 66 designation. He has seven years of industry experience, including roles at Waddell & Reed Inc and MCMILL Advisors & Associates. Outside of advising, he is involved with Cast Iron and holds an insurance agent role with ComPro. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers financial planning, model portfolio programs, third-party asset management access, and institutional platforms, supported by extensive advisor tools and a broad range of non-advisory financial services.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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Miles G

Series 63, Series 65

Atkinson, NE

LPL Financial

Miles Garwood is a financial advisor with LPL Financial, holding Series 63 and Series 65 licenses and bringing 21 years of industry experience. He has been with LPL Financial since 2021 and manages several business entities including Miles Garwood, Inc., Countryside Insurance Agency, and Garwood Ranch. Garwood previously served on the West Holt Memorial Hospital Foundation Board from 2011 to 2017. LPL Financial is a national broker-dealer and SEC-registered investment adviser supporting individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services including financial planning, third-party asset management, and institutional platforms, utilizing both discretionary and non-discretionary strategies.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Jay W

Series 63, Series 65

Stuart, NE

OSAIC

Jay Wallinger is a financial advisor at OSAIC with 32 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at firms including Securities America Advisors and Summit Financial Group. Wallinger volunteers with the Stuart Community Foundation Fund and serves on the Investment Committee of the Nebraska Community Foundation. OSAIC serves a broad client base including individual and high-net-worth investors, pension plans, and charitable organizations through a large network of affiliated advisers. The firm offers integrated brokerage and advisory services, employing firm-provided asset-allocation tools and multiple investment platforms to manage portfolios on both discretionary and non-discretionary bases.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Jon S

Series 63, Series 66

Stuart, NE

LPL Financial

Jon Schmaderer is a financial advisor with LPL Financial, holding Series 63 and Series 66 credentials and bringing 30 years of industry experience. He has worked at LPL Financial since 2017 and previously spent three years with Investment Centers of America, Inc. He also serves as President and CEO of The Tri-County Bank and is a member of the Board of Directors for Butte State Bank. LPL Financial is a national broker-dealer and SEC-registered investment adviser offering advisory and brokerage services to individuals, retirement plan participants, banks, trust companies, and other institutions. The firm provides financial planning, model portfolio programs, third-party asset management, and institutional platforms, supporting a broad range of investment strategies delivered through a network of investment adviser representatives.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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