EK
Elizabeth A. Krog
OAK HARVEST INVESTMENT SERVICES
Houston, TX 77024
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CRD#: 6898004
EK
Professional summary
Elizabeth Anne Krog, CFP® is a registered financial advisor currently at OAK HARVEST INVESTMENT SERVICES located in Houston, Texas.
Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Elizabeth has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Elizabeth Anne Krog is a licensed insurance agent. From time to time, she will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Oak Harvest Investment Services always acts in the best interest of the client, including the sale of commissionable products to advisory clients. Clients always have the right to decide whether or not to utilize the services of any representative of Oak Harvest Investment Services in such individual's outside capacities. JDA TSG TAX SERVICES TEAM; TAX SPECIALIST; INVESTMENT RELATED: NO; 800 3RD AVE, STE 3701 NEW YORK NY 10022 USA; ADVICE ON TAX REPORTING;ASSIST WITH WEBSITE/DATA ENTRY FOR TAX REPORTING;ENSURE TAX EVENTS ARE REPORTED CORRECTLY; 2023-01-17; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 0;HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 60;PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 5;
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Anne Krog'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®
Experience
Current
March 29, 2022 - Present
OAK HARVEST INVESTMENT SERVICES
Office #1: 920 Memorial City Way Suite 150, Houston, TX 77024RIA
CRD#: 173293
Houston, TX
Past
July 18, 2019 - January 28, 2021
CETERA ADVISORS LLC
BD
CRD#: 10299
HOUSTON, TX
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".
OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES
CRD#: 173293 / SEC#: 801-116667
RIA
Registered Investment Advisory firm - (5/22/2019 Approved)Texas
Registered Investment Advisory firm - (6/3/2019 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
Texas(3/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES
CRD#: 173293 / SEC#: 801-116667
RIA
Registered Investment Advisory firm - (5/22/2019 Approved)Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
920 Memorial City Way Suite 150, Houston, TX 77024
Mailing Address
Phone number
(281) 822-1350
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,633 |
| AUM (Assets Under Management) | $ 940,834,408 |
Red Flags
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