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KM

Kathleen A. Manapat

Some features on this profile are disabled
CRD#: 7488627
KM

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.

Kathleen Ann Manapat was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 2022. Kathleen had worked at 1 firm and has passed the SIE and Series 79TO 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

May 16, 2022 - May 20, 2025

BROADOAK PARTNERS, LLC

BD
CRD#: 143527
BRISBANE, CA

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: 5/14/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/26/2022
Investment Banking Registered Representative Examination

Current Firm

BP
BROADOAK PARTNERS, LLC
BROADOAK PARTNERS, LLC | BROADOAK SECURITIES, LLC

CRD#: 143527 / SEC#: , 8-67574

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

Main Address
4800 Montgomery Lane Suite 230, Bethesda, MD 20814
Mailing Address
4800 Montgomery Lane Suite 230, Bethesda, MD 20814
Phone number
(301) 358-2692
Established
Delaware since 01/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROADOAK CAPITAL PARTNERS, LLCPARTNER
HANAN, LARS MARTINMANAGING MEMBER & CHIEF FINANCIAL OFFICER1583884
SNIDER, WILLIAM FRANKLIN JRMANAGING MEMBER2553714
WILSON, DONALD KYLECHIEF COMPLIANCE OFFICER3067901

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

BROADOAK PARTNERS, LLC

CRD#: 143527

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