Michael Derosa

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CRD#: 2013453

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Derosa was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

MICHAEL DEROSA ACCOUNTING...ACCOUNTING PRACTICE 182 ROSE AVENUE SI NY 10306 PRESIDENT 160 HOURS PER month ONE OAK CAPITAL MANAGEMENT INVESTMENT ADVISOR REP 287 Bowman Ave PURCHASE NY 40 hours per month.investment related business start date 10/2020

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 30, 2021 - March 17, 2025

ONE OAK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170339

PURCHASE, NY

Past

January 5, 2004 - October 30, 2023

FOX CHASE CAPITAL PARTNERS, LLC

CRD#: 104087

STATEN ISLAND, NY

Past

January 4, 1999 - January 8, 2004

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

December 5, 1991 - December 31, 1998

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

December 19, 1989 - December 18, 1991

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

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".

ONE OAK CAPITAL MANAGEMENT, LLC

ONE OAK | ONE OAK CAPITAL MANAGEMENT, LLC

CRD#: 170339 / SEC#: 801-114497

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1989

General Securities Representative Examination

Current Firm

ONE OAK CAPITAL MANAGEMENT, LLC

ONE OAK | ONE OAK CAPITAL MANAGEMENT, LLC

CRD#: 170339 / SEC#: 801-114497

RIA

Registered Investment Advisory firm - (1/28/2019 Approved)

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Contact information

Main Address

287 Bowman Ave., Purchase, NY 10577

Mailing Address

Phone number

(914) 205-5821

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONE OAK BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 446,997,945

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	11/27/2018

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael Derosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOX CHASE CAPITAL PARTNERS, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

ROBERT THOMAS SECURITIES, INC

Primary Firm SEC Registration

ONE OAK CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2021

Series 63

Date: 1/29/1990

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1989

Current Firm

ONE OAK CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ONE OAK CAPITAL MANAGEMENT, LLC

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