William K. Jobes

LIVE OAK WEALTH ADVISORY GROUP

SANTA FE, NM

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CRD#: 258753

Professional summary

William Kenneth Jobes SR, who also goes by Ken Jobes, William Kenneth Jobes, is a registered financial advisor currently at LIVE OAK WEALTH ADVISORY GROUP, LLC located in Santa Fe, New Mexico.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. William has worked at 10 firms and has passed the Series 65, Series 63, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Jobes | William Kenneth Jobes

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 William Kenneth Jobes SR's CRS (Customer Relationship Summary).

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

October 15, 2010 - Present

LIVE OAK WEALTH ADVISORY GROUP, LLC

RIA

CRD#: 154962

SANTA FE, NM

Past

March 2, 1998 - October 21, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

HOUSTON, TX

Past

January 2, 1998 - October 21, 2010

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

HOUSTON, TX

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

October 3, 1995 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

September 4, 1990 - September 13, 1995

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 12, 1988 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

February 15, 1988 - September 6, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 27, 1974 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 3, 1973 - November 30, 1974

BACHE & CO., INCORPORATED

CRD#: 66

Past

August 1, 1968 - August 25, 1973

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

LIVE OAK WEALTH ADVISORY GROUP, LLC

CRD#: 154962 / SEC#: 801-122404

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/5/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (10/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2021 Terminated)

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).

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

New Mexico
(6/10/2015)

IAR

Texas
(10/15/2010)

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: 6/24/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 7/26/1968

Registered Representative Examination

Current Firm

LIVE OAK WEALTH ADVISORY GROUP, LLC

CRD#: 154962 / SEC#: 801-122404

RIA

Registered Investment Advisory firm - (9/27/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/5/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (10/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2021 Terminated)

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Contact information

Main Address

3730 Kirby Drive Suite 1200, Houston, TX 77030

Mailing Address

Phone number

(281) 822-9200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	308
AUM (Assets Under Management)	$ 143,024,276

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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Firm Stability Insights

William K. Jobes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Kenneth Jobes SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BACHE & CO., INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

LIVE OAK WEALTH ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1994

Series 63

Date: 9/1/1981

PC

Date: 8/31/1977

Series 1

Date: 7/26/1968

Current Firm

LIVE OAK WEALTH ADVISORY GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIVE OAK WEALTH ADVISORY GROUP, LLC

TRUST BUT VERIFY

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