Jeffrey S. Oates
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 Scott Oates was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1988. Jeffrey had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2001 - November 30, 2001
HERITAGE WEST SECURITIES, INC.
February 28, 2000 - June 16, 2000
CGS FINANCIAL INC.
November 19, 1999 - March 6, 2000
JOSEPH CHARLES & ASSOC., INC.
January 27, 1998 - November 30, 1999
CGS FINANCIAL INC.
June 12, 1995 - November 5, 1997
WEST AMERICA SECURITIES CORP
October 27, 1992 - May 12, 1995
GAINEY FINANCIAL SERVICES, INC.
October 23, 1991 - October 13, 1992
FRANKLIN-LORD, INC.
January 24, 1991 - November 12, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
June 6, 1988 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
Current Firm
HERITAGE WEST SECURITIES, INC.
CRD#: 30718 / SEC#: , 8-45104
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
