Kevin M. Oates

VAN LIEW CAPITAL

PROVIDENCE, RI 02903

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CRD#: 2165472

Professional summary

Kevin Michael Oates is a registered financial advisor currently at VAN LIEW CAPITAL INC located in Providence, Rhode Island.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kevin has worked at 2 firms and has passed the Series 65, Series 63 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Kevin Michael Oates's CRS (Customer Relationship Summary).

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

Current

January 1, 1993 - Present

VAN LIEW CAPITAL INC

Office #1: One Regency Plaza Suite One, Providence, RI 02903

RIA

CRD#: 105502

PROVIDENCE, RI

Past

September 9, 1991 - January 2, 2015

VAN LIEW SECURITIES, INC.

CRD#: 25332

PROVIDENCE, RI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(1/1/1993)

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: 5/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1991

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 27

Date: 9/5/1991

Financial and Operations Principal Examination

Current Firm

VAN LIEW CAPITAL INC

CRD#: 105502 / SEC#: 801-21498

RIA

Registered Investment Advisory firm - (3/26/2009 Terminated)

Rhode Island

Registered Investment Advisory firm - (2/12/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

One Regency Plaza Ste One, Providence, RI 02903

Mailing Address

Phone number

(401) 272-2510

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 63,412,559

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2025	Cover Page	Report
08/20/2025	Cover Page	Report
03/29/2024	Cover Page	Report
03/15/2023	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.

Contact information

xxxxx@xxxx.xxx

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Kevin M. Oates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Oates's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAN LIEW CAPITAL INC

VAN LIEW SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/1995

Series 63

Date: 10/22/1991

Series 27

Date: 9/5/1991

Current Firm

VAN LIEW CAPITAL INC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VAN LIEW CAPITAL INC

TRUST BUT VERIFY

Contact information

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