Unclaimed Profile

John Shaffer

ONE OAK CAPITAL MANAGEMENT, LLC·PURCHASE, New York

SIE, Series 7, Series 8, Series 63Clean record21 years registeredONE OAK CAPITAL MANAGEMENT, LLC

287 BOWMAN AVE., PURCHASE, NY 10577CRD# 1994128Firm CRD# 170339

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Shaffer · PURCHASE, NY

Registration

CRD #1994128 · ONE OAK CAPITAL MANAGEMENT, LLC · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ONE OAK CAPITAL MANAGEMENT, LLC

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Aug 2004 – Sep 2006

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 63

Registration record

First registered · August 18, 2004

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ONE OAK CAPITAL MANAGEMENT, LLC

CRD 170339 · SEC 801-114497

AUM

$283M

Regulatory assets under management

Employees

372 client accounts

Services offered by ONE OAK CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at ONE OAK CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does John Shaffer offer?

John Shaffer specializes in Investment Management, Retirement Planning, Wealth Management.

What are John Shaffer's credentials?

John Shaffer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Shaffer located?

John Shaffer is based in PURCHASE, New York, last registered with ONE OAK CAPITAL MANAGEMENT, LLC.

How does John Shaffer charge for services?

John Shaffer's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ONE OAK CAPITAL MANAGEMENT, LLC?

ONE OAK CAPITAL MANAGEMENT, LLC has approximately 12 employees and manages $283M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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