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Thomas C. Oakes

Some features on this profile are disabled
CRD#: 1354152
TO

Professional summary

Thomas Cameron Oakes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 8 firms, which includes ROYAL SECURITIES COMPANY, ROYAL ADVISORS LLC, KENT KING SECURITIES CO. INC., OPPENHEIMER & CO. INC., FIRST OF MICHIGAN CORPORATION, PRESCOTT BALL & TURBEN INC., RODMAN & RENSHAW INC., H. B. SHAINE & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 27, 2014 - August 2, 2017

ROYAL SECURITIES COMPANY

BD
CRD#: 10702
GRAND RAPIDS, MI
Past

October 30, 2010 - December 31, 2016

ROYAL ADVISORS, LLC

RIA
CRD#: 145006
GRANDVILLE, MI
Past

September 6, 2002 - October 31, 2003

KENT KING SECURITIES CO., INC.

BD
CRD#: 2424
GRAND RAPIDS, MI
Past

January 1, 1999 - September 11, 2002

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 7, 1990 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

BD
CRD#: 311
DETROIT, MI
Past

November 21, 1988 - April 5, 1990

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

October 23, 1987 - November 18, 1988

RODMAN & RENSHAW INC.

BD
CRD#: 724
Past

April 24, 1985 - November 12, 1987

H. B. SHAINE & CO., INC.

BD
CRD#: 374

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/24/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/24/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/26/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RS
ROYAL SECURITIES COMPANY
ROYAL ADVISORS | SYSTEM ANALYSIS, L.L.C. | ROYAL SECURITIES COMPANY

CRD#: 10702 / SEC#: 801-110648, 8-28009

BD
Terminated by SEC on 12/25/2017
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Contact information

Main Address
4095 Chicago Drive Sw, Suite 120, Grandville, MI 49418
Mailing Address
Phone number
Established
Michigan since 06/01/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
RSC HOLDINGS, INC.SHAREHOLDER
DUMEZ, TIMOTHY VAN HAITSMAPRESIDENT/CHIEF OPERATIONS OFFICER, CCO1839802

Disclosures

Regulatory Event7
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ROYAL SECURITIES COMPANY

CRD#: 10702

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