Richard W. Oakford
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.
Richard Woolworth Oakford was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2017 - December 31, 2020
VISION BROKERAGE SERVICES, LLC
February 17, 2009 - July 24, 2017
SOURCE CAPITAL GROUP, INC.
February 17, 2009 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
February 20, 1997 - February 26, 2009
JANNEY MONTGOMERY SCOTT LLC
December 9, 1996 - February 26, 2009
JANNEY MONTGOMERY SCOTT LLC
June 5, 1989 - December 11, 1996
UBS FINANCIAL SERVICES INC.
September 28, 1982 - June 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/13/1984
Foreign Currency Options ExaminationSeries 5
Date: 9/30/1982
Interest Rate Options ExaminationCurrent Firm
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
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.
