PK
Philip A. Kapler
WILLOW
Rogers, AR 72756
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CRD#: 6429605
PK
Professional summary
Philip A Kapler, who also goes by Philip Kapler, is a registered financial advisor currently at WILLOW located in Rogers, Arkansas.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Philip has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Kapler
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.
LOCHMOOR CLUB POA POSITION: Board Member NATURE: This is my neighborhood POA board. I will have a general position on our board with voting abilities and responsibilities. I will not have access to any Board finances or bank accounts. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 03/06/2022 ADDRESS: 5000 Westchester, Bentonville AR 72713, United States DESCRIPTION: I will vote on general neighborhood issues. I will also introduce possible changes to implement and vote on. I will have the ability to influence what funds are spent on through a voting process (example: We have a neighborhood pool and improvements may cost $10,000 and the board would need to vote to approve the expense) NWA TRUSTED BUSINESS PARTNERS POSITION: Vice President NATURE: This is a networking group that I have served for in the past. Our mission is to help grow each others business by being a resource for each others clients. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 2860 West Walnut St Suite 100, Rogers AR 72756, United States DESCRIPTION: I will be in charge of member relations. This includes approving and denying member applications and renewals. I will also be in charge of chapter statistics evolving around attendance, referrals, and various other metrics. I will have no banking or financial privileges.
CRS (Client Relationship Summary) - RIA
Click below to view Philip A Kapler'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 29, 2023 - Present
WILLOW
Office #1: 2860 West Walnut Street Suite 100, Rogers, AR 72756RIA
CRD#: 325785
Rogers, AR
Past
June 1, 2018 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Rogers, AR
Past
March 23, 2015 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Rogers, AR
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".
WI
WILLOW
PATHWAY | WILLOW FINANCIAL LLC | WILLOW
CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - (11/1/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/21/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (12/2/2024 Terminated)Tennessee
Registered Investment Advisory firm - (11/20/2024 Terminated)Texas
Registered Investment Advisory firm - (11/20/2024 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.Highlighted states indicate IAR registrations
IAR
Arkansas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WI
WILLOW
PATHWAY | WILLOW FINANCIAL LLC | WILLOW
CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - (11/1/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/21/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (12/2/2024 Terminated)Tennessee
Registered Investment Advisory firm - (11/20/2024 Terminated)Texas
Registered Investment Advisory firm - (11/20/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2860 West Walnut Street Suite 100, Rogers, AR 72756
Mailing Address
Phone number
(479) 709-3949
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 326 |
| AUM (Assets Under Management) | $ 110,146,108 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WILLOW
CRD#: 325785Rogers, AR 72756TRUST BUT VERIFY
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