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Registration History
199820002002200420062008201020122014201620182020202220242026IAOAK CAPITAL ADVISORS (CRD# 161316)2012 - Present (12 years)IAMAPLE HILL CAPITAL MANAGEMENT (CRD# 127509)2003 - 2004 (1 year)IAUBS GLOBAL ASSET MANAGEMENT (CRD# 583)2002 - 2003 (<1 year)
Disclosure(s)
View By:
9/1/1998
Customer Dispute
Settled
License(s)

State Registrations

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Louisiana 3/19/2014

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Texas 3/7/2012

Current Registration(s)
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OAK CAPITAL ADVISORS (CRD#:161316)
DALLAS, TX
Registered with this firm since 3/7/2012

Previous Registration(s)
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07/02/2003 - 07/01/2004 MAPLE HILL CAPITAL MANAGEMENT (CRD#:127509) NORWICH, VT
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07/30/2002 - 03/04/2003 UBS GLOBAL ASSET MANAGEMENT (CRD#:583) WEST LEBANON, NH
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.