Michael A Kaup

Current Employers

Employment History

• 01/2015 → 01/2017
  Metlife Securities Inc.
  Fairfield, NJ
• 01/2017 → Present
  Lpl Financial, Llc
  Morristown, NJ
• 01/2017 → Present
  Gladstone Wealth Partners
  Morristown, NJ

Previous Registrations

• 2015-01-02 → 2017-01-24
  Msi Financial Services, Inc.
  Fairfield, NJ
  Wall Township, NJ
• 2009-09-23 → 2015-01-02
  New England Securities
  Wakefield, MA
  Fairfield, NJ
  San Diego, CA
  Wakefield, MA
  Boston, MA
  Suite 100, MA
  Boston, MA

Other Businesses

1. 1/20/2017 - Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/20/2017 - Time Spent 100%. 2. 3/15/2017 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 1/20/2017 - 150 Hours Per Month - I provide investment advisory services through Innovative Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity on 3/9/17. I expect to spend approximately 150 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/15/2017 - Gladstone Institutional Advisory, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 1/20/2017 - 150 Hours Per Month - I provide investment advisory services through Innovative Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity on 3/9/17. I expect to spend approximately 150 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 2/15/2018 - Creative Risk Management, LLC - Investment Related - At Reported Business Location(s) - Property and Casualty - Started 02/01/2017 - 4 Hours Per Month/1 Hour During Securities Trading. 5. 8/17/2020 - Jockey Hollow Financial Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/30/2017 - 20 Hours Per Month/8 Hours During Securities Trading - Life/Accident/Heath & Property & Casualty. 6. 01/2017 - LPL Financial - broker-dealer registered representative - Investment Related - At Reported Business Location(s) - 80 hours a month during securities trading 7. 02/01/2024 - Jockey Hollow Financial Services, LLC - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 1/30/2017 - 20 Hrs/mo; 8 hrs During Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-07-09