Earle W. Evans
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.
Earle Wood Evans III, who also goes by Duke Evans, Earle Wood Evans, was a registered financial professional .
Earle is a previously registered financial professional and started their career in finance in 1968. Earle had worked at 9 firms and has passed the Series 63, SIE, Series 000, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2015 - June 17, 2015
OAKBRIDGE FINANCIAL SERVICES
July 2, 2004 - September 22, 2017
VESTECH SECURITIES, INC.
March 21, 2002 - December 31, 2007
BTS ASSET MANAGEMENT, INC.
October 21, 1996 - April 21, 2017
VESTECH SECURITIES, INC.
April 30, 1996 - November 7, 1996
MAY FINANCIAL CORPORATION
June 27, 1989 - April 16, 1996
AMERICAN DISCOUNT SECURITIES, INC.
December 15, 1986 - June 27, 1989
B.C. CHRISTOPHER SECURITIES CO.
February 6, 1974 - January 7, 1979
E. F. HUTTON & COMPANY INC
February 25, 1970 - March 20, 1974
DUPONT WALSTON, INCORPORATED
January 18, 1968 - January 2, 1987
PRUDENTIAL EQUITY GROUP, LLC
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 000
Date: 1/18/1968
General Securities Principal ExaminationSeries 1
Date: 12/8/1967
Registered Representative ExaminationSeries 12
Date: 4/5/1979
NYSE Branch Manager ExaminationCurrent Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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