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Elliot C. Kaple

Some features on this profile are disabled
CRD#: 6476183
EK

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.

Elliot Charles Kaple was a registered financial professional .

Elliot is a previously registered financial professional and started their career in finance in 2015. Elliot had worked at 3 firms and has passed the SIE, Series 52 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

July 29, 2022 - October 1, 2024

WHITE OAK MERCHANT PARTNERS LLC

BD
CRD#: 140142
SAN FRANCISCO, CA
Past

January 2, 2019 - April 13, 2020

LUMENT SECURITIES, LLC

BD
CRD#: 14840
Cleveland, OH
Past

May 7, 2015 - January 2, 2019

LANCASTER POLLARD & CO., LLC

BD
CRD#: 24110
COLUMBUS, OH

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.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 7/10/2015
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 5/7/2015
Investment Banking Registered Representative Examination

Current Firm

WO
WHITE OAK MERCHANT PARTNERS LLC
ACCENT CAPITAL ADVISORS, L.L.C. | WHITE OAK MERCHANT PARTNERS LLC

CRD#: 140142 / SEC#: , 8-67283

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
3 Embarcadero Center Suite 540, San Francisco, CA 94111
Mailing Address
3 Embarcadero Center Suite 540, San Francisco, CA 94111
Phone number
(415) 644-4100
Established
California since 12/05/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WHITE OAK FINANCIAL, LLCSOLE SHAREHOLDER OF REGISTRANT
HAKKAK, ANDRE AMINCHIEF COMPLIANCE OFFICER2198641
HAKKAK, ANDRE AMINCHIEF EXECUTIVE OFFICER AND MEMBER2198641
ROMERO, MONIQUEFINOP6712654

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.

Company Information

WHITE OAK MERCHANT PARTNERS LLC

CRD#: 140142

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