Philip G. Oakley
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.
Philip Gregory Oakley, who also goes by Greg Oakley, was a registered financial advisor .
Philip is a previously registered financial advisor and started their career in finance in 1989. Philip had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - January 9, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 22, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 17, 2008 - January 9, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 9, 2004 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
April 26, 2004 - December 9, 2004
KNIGHT EXECUTION PARTNERS LLC
June 7, 1997 - April 20, 2004
APEX CLEARING CORPORATION
November 18, 1996 - May 20, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
September 22, 1989 - April 2, 1990
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 8
Date: 7/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
