Kevin Michael Oates
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VAN LIEW CAPITAL INC
Contact Information
Main Address
One Regency Plaza Ste One, Providence, RI 02903Phone Number
(401) 272-2510# of Employees
5Documents
Regulatory Assets Under Management
Total Number of Accounts
10AUM (Assets Under Management)
$67,190,511Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2026 | Cover Page | Report |
| 12/18/2025 | Cover Page | Report |
| 08/20/2025 | Cover Page | Report |
| 08/20/2025 | Cover Page | Report |
| 03/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Oates's CRS (Customer Relationship Summary).
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