Donald Eugene Oates
ChFC®, CLU®Professional Summary
Donald Eugene Oates, ChFC®, CLU®, who also goes by Don Oates, is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in Hampstead, Maryland and LOMBARD SECURITIES INCORPORATED located in Hampstead, Maryland. Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Donald has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Don Oates
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | LOCKRIDGE LEGACY FINANCIAL, LLC | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
Contact Information
Main Address
1820 Lancaster St, Baltimore, MD 21231Phone Number
(410) 342-1300# of Employees
41SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,456AUM (Assets Under Management)
$669,830,665Similar Advisors
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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.
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Primary Firm SEC Registration
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | LOCKRIDGE LEGACY FINANCIAL, LLC | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
State Registrations and Notice Filings
(1/6/1997)
(2/10/2006)
(8/3/2007)
(3/24/1992)
(4/21/2003)
(8/3/2007)
(1/4/2022)
(3/24/1992)
(3/27/2013)
(8/13/2019)
(1/3/2017)
(8/22/2011)
(1/4/2022)
(7/25/2014)
(1/3/2017)
(9/1/1999)
(11/19/2007)
(1/4/2017)
(3/27/2019)
(3/28/1996)
(8/3/2007)
(1/5/2007)
(1/8/2008)
(1/3/2017)
(1/3/2017)
(5/2/2006)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1983About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Donald Eugene Oates's CRS (Customer Relationship Summary).
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