Yakov S. Koppel
Professional summary
Yakov Shulm Koppel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Yakov is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Yakov had worked at 12 firms, which includes SOURCE CAPITAL GROUP INC., FINANCIAL WEST GROUP, VALLEY FORGE SECURITIES INC ., GRAYSON FINANCIAL LLC, PANTA MANAGEMENT INCORPORATED, PLATINUM EQUITIES INC., J.W. BARCLAY & CO. INC., SANDGRAIN SECURITIES LLC, FIRST CAMBRIDGE SECURITIES CORPORATION, H.J. MEYERS & CO. INC., WILLIAM SCOTT & CO. L.L.C., HANOVER STERLING & COMPANY LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2003 - February 20, 2004
SOURCE CAPITAL GROUP, INC.
December 4, 2001 - July 25, 2002
SOURCE CAPITAL GROUP, INC.
October 18, 2001 - December 20, 2001
FINANCIAL WEST GROUP
July 24, 2001 - November 2, 2001
VALLEY FORGE SECURITIES, INC .
December 12, 2000 - June 1, 2001
GRAYSON FINANCIAL LLC
November 14, 2000 - December 8, 2000
PANTA MANAGEMENT, INCORPORATED
May 3, 2000 - January 2, 2001
PLATINUM EQUITIES, INC.
October 29, 1999 - May 30, 2000
J.W. BARCLAY & CO., INC.
July 8, 1999 - November 17, 1999
SANDGRAIN SECURITIES LLC
June 6, 1997 - July 8, 1999
J.W. BARCLAY & CO., INC.
December 11, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
September 11, 1996 - December 16, 1996
H.J. MEYERS & CO., INC.
May 10, 1994 - October 2, 1996
WILLIAM SCOTT & CO. L.L.C.
March 17, 1994 - May 19, 1994
HANOVER, STERLING & COMPANY LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
