Jeffrey A. Oster

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CRD#: 1666083

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.

Jeffrey Alex Oster, who also goes by Jeff Oster, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff Oster

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.

1) INSURANCE - NON-VARIABLE:INVESTMENT RELATED:12/2009-PRESENT:ALAMEDA, CA:AGENT:NON-VARIABLE INSURANCE:1 HR/WK:1 HR DURING TRADING:SOLD FIXED POLICIES W/JOHN HANCOCK LIFE AND UL W/HARTFORD LIFE. 2) OSTER FINANCIAL SERVICES, ALAMEDA, CA, SUPPORT COMPANY/DBA (OWNER),NON-INVESTMENT RELATED, 07/01/2005, HOURS PER MONTH: 160 HOURS PER MONTH DURING TRADING HOURS: 140, SERVICE COMPANY FOR MY RJFS BUSINESS 3) Name of Business : Retso Records Address: 1050 Marina Village Pkwy Ste 103,Alameda, CA Nature of the Business: Production and sales of music (sale of CDs) Position/Title: Proprietor/Owner Investment Related: No Start Date: 04/01/2004 Hours per month devoted to this business: 20 Hours per month devoted to this business during trading hours: 0 Description of duties: Record Company to Release my CDs and Digital Music Downloads 4) Name of Business: NA Address: 1050 Marina Village Pkwy #103 , Alameda , CA, 94501, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/01/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sold fixed SUL policies with John Hancock Life and UL w/Hartford Life

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 2, 2009 - August 29, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Alameda, CA

Past

April 15, 2004 - June 27, 2005

AON CAPITAL ADVISORS LLC

RIA

CRD#: 125330

SAN FRANCISCO, CA

Past

April 15, 2004 - June 27, 2005

AON SECURITIES LLC

CRD#: 4138

CHICAGO, IL

Past

January 19, 2000 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ENCINO, CA

Past

May 5, 1997 - August 29, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ENCINO, CA

Past

October 20, 1994 - May 9, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 1, 1993 - November 15, 1994

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

January 20, 1992 - December 31, 1992

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

October 7, 1988 - July 8, 1991

FEDERATION FOR FINANCIAL INDEPENDENCE

CRD#: 13355

Past

April 29, 1987 - September 15, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/30/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/1998

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey A. Oster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AON CAPITAL ADVISORS LLC

AON SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

SPELMAN & CO., INC.

ADVANTAGE CAPITAL CORPORATION

FEDERATION FOR FINANCIAL INDEPENDENCE

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/1995

Series 63

Date: 8/26/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Series 51

Date: 6/30/2003

Series 24

Date: 1/9/1998

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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