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EH

Elliot J. Han

PGP CAPITAL ADVISORS
Los Angeles, CA 90017
Some features on this profile are disabled
CRD#: 6543354
EH

Professional summary

Elliot J Han is a registered financial professional currently at PGP CAPITAL ADVISORS, LLC located in Los Angeles, California.

Elliot is registered as a RR (Registered Representative) and started their career in finance in 2015. Elliot has worked at 3 firms and has passed the Series 63, SIE, Series 79TO 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) - BD

Click below to view Elliot J Han's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 4, 2023 - Present

PGP CAPITAL ADVISORS, LLC

Office #1: 865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
BD
CRD#: 128797
Los Angeles, CA
Past

December 23, 2022 - September 6, 2023

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

December 15, 2015 - August 11, 2016

JEFFERIES LLC

BD
CRD#: 2347
FOSTER CITY, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(12/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/23/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/21/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 12/15/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PGP CAPITAL ADVISORS, LLC
PACIFIC GEMINI PARTNERS, LLC | PGP CAPITAL ADVISORS, LLC

CRD#: 128797 / SEC#: , 8-66180

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Mailing Address
865 S. Figueroa Street Suite 1330, Los Angeles, CA 90017
Phone number
(310) 268-0885
Established
Delaware since 07/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PGP HOLDINGS, LLCPARENT
COLLINS, ELIZABETH SARAHFINOP4714831
KIM, STEWART MICHAELCHIEF COMPLIANCE OFFICER1715034

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

PGP CAPITAL ADVISORS, LLC

CRD#: 128797Los Angeles, CA 90017

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