Fanning T. Oakley

OAKLEY CAPITAL GROUP

LADERA RANCH, CA

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CRD#: 2631001

Professional summary

Fanning Tucker Oakley IV, who also goes by F Tucker Oakley IV, is a registered financial advisor currently at OAKLEY CAPITAL GROUP located in Ladera Ranch, California.

Fanning is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Fanning has worked at 6 firms and has passed the Series 65, Series 63, Series 66, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

F Tucker Oakley Iv

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.

Casa de Amma Not investment related 27231 Calle Arroyo San Juan Capistrano, CA 92675 Residential Apartment Community for Special Needs Adults Director of Finance & Operations Director 9/2021 160 Hours per month 8 hours/day, 5 days per week Responsible for accounting functions and maintenance and repair of the facilities Sterling Research, LLC Not investment related 2000 Corporate Drive, 414 Ladera Ranch, CA 92694 Self Storage Feasibility Studies Co-owner/Principal 7/2021 20 hours per week 1 to 2 hours I perform feasibility studies on proposed self storage projects Self Storage Works Not investment related 2000 Corporate Drive, 414 Ladera Ranch, CA 92694 Self Storage Feasibility/Start up/Management Consultant Consultant 9/2020 20 hours/month 1 to 2 hours per day I assemble feasibility studies for proposed self storage projects

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fanning Tucker Oakley IV'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

May 29, 2014 - Present

OAKLEY CAPITAL GROUP

RIA

CRD#: 169427

LADERA RANCH, CA

Past

May 5, 2006 - February 26, 2007

MCGLADREY CAPITAL MARKETS, LLC

CRD#: 47639

COSTA MESA, CA

Past

March 12, 2001 - March 10, 2003

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

July 29, 1996 - May 6, 1997

PACIFIC CONTINENTAL SECURITIES CORPORATION

CRD#: 2398

BEVERLY HILLS, CA

Past

January 29, 1996 - January 14, 1997

W.J. GALLAGHER & COMPANY, INC.

CRD#: 11097

PASADENA, CA

Past

July 10, 1995 - December 1, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

California
(5/29/2014)

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: 3/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/7/1995

Municipal Securities Representative Examination

Current Firm

OAKLEY CAPITAL GROUP

OAKLEY CAPITAL GROUP | OAKLEY IV, FANNING TUCKER

CRD#: 169427 / SEC#:

California

Registered Investment Advisory firm - (5/29/2014 Approved)

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Contact information

Main Address

Rancho Mission Viejo, CA

Mailing Address

Phone number

(949) 939-7617

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 5,500,000

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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Advisor Monitoring

Firm Stability Insights

Fanning T. Oakley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fanning Tucker Oakley IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCGLADREY CAPITAL MARKETS, LLC

WEDBUSH SECURITIES INC.

PACIFIC CONTINENTAL SECURITIES CORPORATION

W.J. GALLAGHER & COMPANY, INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2014

Series 63

Date: 9/27/2006

Series 66

Date: 9/3/2002

Series 7

Date: 3/9/2001

Series 52

Date: 7/7/1995

Current Firm

OAKLEY CAPITAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OAKLEY CAPITAL GROUP

TRUST BUT VERIFY

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