JC
James N. Crabb
ONE OAK CAPITAL MANAGEMENT
Purchase, NY 10577
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CRD#: 2175143
JC
Professional summary
James Neil Crabb is a registered financial advisor currently at ONE OAK CAPITAL MANAGEMENT, LLC located in Purchase, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SALVATION FOR ISRAEL MINISTRIES - NOT INVESTMENT RELATED - P O BOX 536 FATE TX 75132 - MINISTRY - DIRECTOR OF OPERATIONS USA - 12/28/2010 - WE PROVIDE ASSISANCE TO THE POOR, WIDOWS, ORPHANS, HOLOCAUST SURVIVON, AND OTHERS THAT ARE LESS FORTUNATE IN THE NATION OF ISRAEL. WE ASLO PROVIDE RELISIOS TRAINING TO THERE GROUPS AND OTHERS - NO COMPENSATION - 10-15 MINUTES PER DAY DRNG BSNSS HRS - 1-2 HRS A DAY DRNG NON BSNSS HOURS - NO CONFLICTS OF INTEREST. - RENTAL PROPERTY - STARTING AUG 3, 2014
CRS (Client Relationship Summary) - RIA
Click below to view James Neil Crabb's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 3, 2019 - Present
ONE OAK CAPITAL MANAGEMENT, LLC
Office #1: 287 Bowman Ave., Purchase, NY 10577RIA
CRD#: 170339
Purchase, NY
Past
June 7, 2000 - November 8, 2017
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
January 19, 1999 - May 17, 2000
ASSOCIATED BOND BROKERS, INC.
BD
CRD#: 32114
DALLAS, TX
Past
July 6, 1998 - December 8, 1998
INTERNATIONAL EXCHANGE BROKERS, LLC.
BD
CRD#: 44155
DALLAS, TX
Past
March 12, 1998 - May 26, 1998
ASSOCIATED BOND BROKERS, INC.
BD
CRD#: 32114
DALLAS, TX
Past
June 18, 1993 - December 23, 1997
ASSOCIATED BOND BROKERS, INC.
BD
CRD#: 32114
DALLAS, TX
Past
September 8, 1992 - May 25, 1993
ACS MUNICIPAL BROKERS, INC.
BD
CRD#: 26504
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".
OO
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(8/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OO
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)Upgrade to AdvisorCheck Premium
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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
16
SEC notice filing (2 States and Territories)
Documents
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.
