James Edward Gingles
Professional Summary
James Edward Gingles was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1985 - 2022. James had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
OAK TREE SECURITIES, INC.
Contact Information
Main Address
4049 First Street Suite 129, Livermore, CA 94551-4949Mailing Address
4049 First Street Suite 129, Livermore, CA 94551-4949Phone Number
(925) 245-0570Established
California since 04/30/1986Firm Type
CorporationFiscal Year End
AprilFirm Size
Small# of Employees
4FINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
5AUM (Assets Under Management)
$3,689,200Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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