GK
Gabriel S. Kora
KG&L CAPITAL MANAGEMENT
Saint Francisville, LA 70775
Some features on this profile are disabled
CRD#: 4132746
GK
Professional summary
Gabriel Simon Kora III, who also goes by Gabriel S. Kora, Si Kora, is a registered financial advisor currently at KG&L CAPITAL MANAGEMENT, LLC located in Saint Francisville, Louisiana and PURSHE KAPLAN STERLING INVESTMENTS located in Saint Francisville, Louisiana.
Gabriel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gabriel has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gabriel S. Kora | Si Kora
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.
1.) Purshe Kaplan Sterling Investments, Inc. -Investment Related- PROVIDING VARIOUS LIFE AND HEALTH INSURANCE PRODUCTS TO MY CLIENTS. THESE PRODUCTS INCLUDE VARIABLE ANNUITY'S THROUGH OUR BROKER DEALER. Registered rep/ Agent - AT REGISTERED BRANCH OFFICE LOCATION; 2.) GSK MANAGEMENT SERVICES, LLC; NOT INVESTMENT RELATED; 32634 GREENWELL SPRINGS RD. GREENWELL SPRINGS, LA 70739; TAX SHELTER (the entity does not conduct any business); PRESIDENT; START DATE: 2006; APPROX 1 HR/MO; SET UP FOR PERSONAL INCOME TAX PURPOSES. 3.) KG CAPITAL MANAGEMENT LLC; INVESTMENT RELATED; AT REGISTERED BRANCH OFFICE LOCATION; RIA; CHIEF FINANCIAL OFFICER; START DATE: 5/2012; APPROX 60 HRS/MO; WORK WITH CLIENTS TO ASSESS THEIR INVESTMENT GOALS AND DETERMINE RISK TOLERANCE. INVEST CLIENTS ASSETS USING INVESTMENTS BASED ON THEIR NEEDS AND GOALS. 4) THREE RIVERS CONSULTING GROUP, LLC; NOT INVESTMENT RELATED; Physical Address - 4782 Prosperity St. Saint Francisville, LA 70775; Mailing Address - PO Box 1220 Saint Francisville, LA 70775; COMPANY REAL ESTATE TRANSACTIONS, MINERAL LEASE CONSULTING; MEMBER; 2016-11-16; 5 HOURS DURING TRADING HOURS; 5 HOURS OUTSIDE TRADING HOURS; BUY AND MAINTAIN REAL ESTATE FOR THE COMPANY AND WILL ADVISE LAND OWNERS REGARDING MINERAL LEASING ACTIVITIES; Percentage of total yearly compensation expected to be derived from the business : 5;
CRS (Client Relationship Summary) - RIA
Click below to view Gabriel Simon Kora III'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
July 31, 2012 - Present
KG&L CAPITAL MANAGEMENT, LLC
Office #1: 4782 Prosperity Street, Saint Francisville, LA 70775RIA
CRD#: 164500
Saint Francisville, LA
Current
August 15, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4782 Prosperity Street, Saint Francisville, LA 70775BD
CRD#: 35747
Saint Francisville, LA
Past
April 21, 2008 - August 15, 2012
BROKERSXPRESS LLC
RIA
CRD#: 127081
BATON ROUGE, LA
Past
April 11, 2008 - August 15, 2012
BROKERSXPRESS LLC
BD
CRD#: 127081
BATON ROUGE, LA
Past
March 31, 2003 - April 14, 2008
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
BATON ROUGE, LA
Past
November 13, 2002 - March 26, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BATON ROUGE, LA
Past
February 29, 2000 - March 26, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 29, 2000 - March 26, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
KC
KG&L CAPITAL MANAGEMENT, LLC
KG CAPITAL MANAGEMENT LLC | KG&L CAPITAL MANAGEMENT, LLC | KG CAPITAL MANAGEMENT, LLC
CRD#: 164500 / SEC#: 801-112461
RIA
Registered Investment Advisory firm - (2/16/2018 Approved)Alabama
Registered Investment Advisory firm - (4/12/2018 Terminated)Louisiana
Registered Investment Advisory firm - (4/13/2018 Terminated)Mississippi
Registered Investment Advisory firm - (4/12/2018 Terminated)Texas
Registered Investment Advisory firm - (4/12/2018 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/26/2017)
IAR
Alabama(10/24/2017)
RR
California(10/8/2024)
IAR
Louisiana(7/31/2012)
RR
Louisiana(8/15/2012)
RR
Mississippi(12/12/2018)
RR
Texas(8/15/2012)
IAR
Texas(8/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KG&L CAPITAL MANAGEMENT, LLC
KG CAPITAL MANAGEMENT LLC | KG&L CAPITAL MANAGEMENT, LLC | KG CAPITAL MANAGEMENT, LLC
CRD#: 164500 / SEC#: 801-112461
RIA
Registered Investment Advisory firm - (2/16/2018 Approved)Alabama
Registered Investment Advisory firm - (4/12/2018 Terminated)Louisiana
Registered Investment Advisory firm - (4/13/2018 Terminated)Mississippi
Registered Investment Advisory firm - (4/12/2018 Terminated)Texas
Registered Investment Advisory firm - (4/12/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4782 Prosperity Street, Saint Francisville, LA 70775
Mailing Address
Po Box 1220, Saint Francisville, LA 70775
Phone number
(225) 245-5153
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,298 |
| AUM (Assets Under Management) | $ 414,086,497 |
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.
