Ronald E. Heakins

OAK TREE INVESTMENT ADVISORS

Pittsburgh, PA 15232

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CRD#: 1007878

Professional summary

Ronald Edward Heakins is a registered financial advisor currently at OAK TREE INVESTMENT ADVISORS located in Pittsburgh, Pennsylvania.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Ronald has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 5, Series 7 and Series 8 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.

OAKMONT INVESTMENT ADVISORS, INC.d/b/a OakTree Investment Advisors, A PA RIA FIRM WHICH I OWN 75% OF. OIA MANAGEMENT IS ON A FEE-ONLY AND HOURLY CONSULTING BASIS. WE ALSO OFFER SERVICES AS A FIDUCIARY AUDITOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Edward Heakins's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 31, 2000 - Present

OAK TREE INVESTMENT ADVISORS

Office #1: 731 S Aiken Ave, Pittsburgh, PA 15232

RIA

CRD#: 111095

Pittsburgh, PA

Past

August 29, 2002 - July 2, 2007

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

PITTSBURGH, PA

Past

August 26, 1981 - September 5, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

OAK TREE INVESTMENT ADVISORS

OAK TREE INVESTMENT ADVISORS | OAKMONT INVESTMENT ADVISORS, INC.

CRD#: 111095 / SEC#: 801-113803

RIA

Registered Investment Advisory firm - (8/9/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Pennsylvania
(8/31/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/27/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/31/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 7/19/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/31/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OAK TREE INVESTMENT ADVISORS

OAK TREE INVESTMENT ADVISORS | OAKMONT INVESTMENT ADVISORS, INC.

CRD#: 111095 / SEC#: 801-113803

RIA

Registered Investment Advisory firm - (8/9/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/22/2018 Terminated)

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Contact information

Main Address

731 S. Aiken Ave, Pittsburgh, PA 15232

Mailing Address

Phone number

(412) 802-8358

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAKTREE INVESTMENT ADVISORS FIRM BROCHURE (2/21/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 164,093,794

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.

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Ronald E. Heakins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Edward Heakins's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

OAK TREE INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/2023

Series 65

Date: 3/31/1997

SIE

Date: 3/6/2023

Series 5

Date: 7/19/1983

Series 7

Date: 8/15/1981

Series 8

Date: 5/31/1997

Current Firm

OAK TREE INVESTMENT ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK TREE INVESTMENT ADVISORS

TRUST BUT VERIFY

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