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53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-02 |
| MA | RA | APPROVED | 2007-11-05 |
Branch Locations
53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2017-12-22 |
Branch Locations
53 State Street 23Rd Floor, Boston, MA 02109-2820 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Shepherd Kaplan Llc | Boston | MA | 08/2003 | Present |
| Shepherd Kaplan Krochuk Llc | Boston | MA | 11/2017 | Present |
| Skk Capital Advisors, Llc | Boston | MA | 05/2019 | Present |
Name of Business: Shepherd Kaplan Krochuk LLC, Investment Related: Yes, Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Investment Advisor, Position: Managing Member, Start Date: 11/01/2017, Hours per month and during trading hours: 80, Duties: In charge of long-term strategy and operating areas of the firm. Name of Business: SKK CAPITAL ADVISORS, LLC, Investment Related: No (Pending), Address: 125 Summer St - 22nd Floor - Boston MA 02110, Nature Of Business: Broker Dealer (Pending), Position: Managing Member, CCO, Start Date: 02/01/2019, Hours per month and during trading hours: 1, Duties: Overseeing (Pending) Broker Dealer application.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-15 |
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