Benjamin Kaplan has been an investment adviser representative at Forthright Capital Advisory since July 2023, and is not listed among the firm’s executive officers or direct owners.
Forthright Capital Advisory LLC is a Las Vegas, NV firm with $108M under management, 987 clients and 21 advisers across 20 offices, as of its August 2026 filing.
Benjamin Kaplan’s longest registration is the current one, 3 years at Forthright Capital Advisory since 2023. Before joining Forthright Capital Advisory in 2023, Benjamin Kaplan was registered through First Command Advisory Services.
- Forthright CapitalCurrent– present · 3 yearsEwa Beach, HI · Adviser representative · Firm CRD 323596
- First Command Advisory Services– · 2 yearsAiea, HI · Adviser representative · Firm CRD 281958
Investment adviser representative registrations
Benjamin Kaplan is registered as an investment adviser representative in 2 states. Each was approved in July 2023.
- HawaiiSince 25 July 2023
- WashingtonSince 25 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 20 March 2021 |
| Series 7TO | General Securities Representative Examination | 6 February 2021 |
| SIE | Securities Industry Essentials Examination | 16 October 2020 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 7287912
- Firm
- Forthright Capital Advisory · CRD 323596
- Office
- Ewa Beach, HI
- Registration
- Investment adviser registration
- In the industry since
- February 2021
- Disciplinary history
- Not yet shown here · SEC record
Where does Benjamin Kaplan work?
Benjamin Kaplan is an investment adviser representative registered through Forthright Capital Advisory LLC since July 2023, and is not listed among the firm’s executive officers or direct owners.
Is Benjamin Kaplan a financial advisor?
Yes. Benjamin Kaplan has a current investment-adviser registration in Hawaii and Washington, through Forthright Capital Advisory since July 2023.
How many years of experience does Benjamin Kaplan have?
Benjamin Kaplan has 5 years in the financial industry, since February 2021, across 2 adviser firms.
What exams has Benjamin Kaplan passed?
Benjamin Kaplan has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in October 2020.
Where did Benjamin Kaplan work before Forthright Capital Advisory?
Before Forthright Capital Advisory, Benjamin Kaplan was registered through First Command Advisory Services, May 2021 to July 2023.
Where is Benjamin Kaplan based?
Benjamin Kaplan’s registered office is in Ewa Beach, HI.
Is Benjamin Kaplan registered with FINRA?
No. Benjamin Kaplan has no current broker registration.
How can I verify Benjamin Kaplan’s record?
Search CRD 7287912 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Benjamin Kaplan’s full registration record.
