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HK

Hiroko Koga

AMERICAN CAPITAL PARTNERS
NEW YORK, NY 10122
Some features on this profile are disabled
CRD#: 6596856
HK

Professional summary

Hiroko Koga, who also goes by Michele Koga, is a registered financial professional currently at AMERICAN CAPITAL PARTNERS, LLC located in New York, New York.

Hiroko is registered as a RR (Registered Representative) and started their career in finance in 2016. Hiroko has worked at 2 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michele Koga

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 Hiroko Koga'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

July 7, 2016 - Present

AMERICAN CAPITAL PARTNERS, LLC

Office #1: 14 Penn Plaza 225 West 34th Street 10th Floor, Suite 1004, New York, NY 10122
BD
CRD#: 119249
NEW YORK, NY
Past

January 13, 2016 - July 20, 2016

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY

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
New York
(7/7/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 1/31/2017
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/13/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
AMERICAN CAPITAL PARTNERS, LLC
ACP INVESTMENTS, LLC | AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249 / SEC#: , 8-65165

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
205 Oser Ave., Hauppauge, NY 11788
Mailing Address
205 Oser Ave., Hauppauge, NY 11788
Phone number
(631) 851-0918
Established
New York since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
CENTURY MANAGEMENT LLCPARENT CO.
CAHILL, EDWARD MICHAEL JRPRESIDENT, GSP2310758
GARDINI, ANTHONY MICHAEL JRCHAIRMAN, CEO, GSP1893107
GARDINI, JOHN CHARLESCCO, CROP, AML, MP2408960
PICERNO, JOHNHEAD TRADER2490554
SIMONE, ANTHONY PHILIPFINOP, CFO1514066

Disclosures

Regulatory Event2
Arbitration2

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

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249New York, NY 10122

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