Bruce D. Oakes
Professional summary
Bruce David Oakes was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Bruce had worked at 6 firms, which includes LASALLE ST SECURITIES L.L.C., EISNER SECURITIES INC., CAPITAL SECURITIES OF AMERICA INC., CLEARING SERVICES OF AMERICA INC., O. R. SECURITIES INC., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2001 - November 23, 2001
LASALLE ST SECURITIES, L.L.C.
May 15, 1996 - October 1, 2001
EISNER SECURITIES, INC.
September 23, 1994 - March 8, 1996
CAPITAL SECURITIES OF AMERICA, INC.
January 13, 1989 - September 26, 1994
CLEARING SERVICES OF AMERICA, INC.
October 13, 1987 - December 5, 1988
O. R. SECURITIES, INC.
April 28, 1987 - October 16, 1987
AMERIPRISE ADVISOR SERVICES, INC.
December 26, 1986 - May 12, 1987
O. R. SECURITIES, INC.
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 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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