Harry K. Oxley

DOUBLE BAY MANAGEMENT & PLANNING

San Francisco, CA 94111

Some features on this profile are disabled

CRD#: 2827738

Professional summary

Harry Keir Oxley, who also goes by H. Keir Oxley, is a registered financial advisor currently at DOUBLE BAY MANAGEMENT & PLANNING located in San Francisco, California.

Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Harry has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

H. Keir Oxley

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 Harry Keir Oxley'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

August 6, 2020 - Present

DOUBLE BAY MANAGEMENT & PLANNING

Office #1: 50 California Street Suite 2650, San Francisco, CA 94111

RIA

CRD#: 136373

San Francisco, CA

Past

February 14, 2003 - July 17, 2014

FINANCIAL TELESIS INC

CRD#: 31012

SAN FRANCISCO, CA

Past

December 13, 1999 - December 31, 2008

DOUBLE BAY MANAGEMENT & PLANNING

RIA

CRD#: 136373

SAN FRANCISCO, CA

Past

May 8, 1999 - February 18, 2003

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 8, 1998 - May 6, 1999

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 13, 1997 - October 14, 1997

MACKEN SECURITIES, INC.

CRD#: 13390

ROSEVILLE, CA

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".

DOUBLE BAY MANAGEMENT & PLANNING

DOUBLE BAY MANAGEMENT & PLANNING | OXLEY, HARRY KEIR

CRD#: 136373 / SEC#: 801-106587

RIA

Registered Investment Advisory firm - (8/31/2015 Approved)

California

Registered Investment Advisory firm - (1/3/2016 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

California
(8/6/2020)

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: 7/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/10/1998

General Securities Principal Examination

Current Firm

DOUBLE BAY MANAGEMENT & PLANNING

DOUBLE BAY MANAGEMENT & PLANNING | OXLEY, HARRY KEIR

CRD#: 136373 / SEC#: 801-106587

RIA

Registered Investment Advisory firm - (8/31/2015 Approved)

California

Registered Investment Advisory firm - (1/3/2016 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

50 California Street Suite 1500, San Francisco, CA 94111

Mailing Address

Phone number

(800) 494-3267

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DBMP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 111,160,736

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

Michael Ginsberg

GINSBERG FINANCIAL STRATEGIES

IAR

Walnut Creek, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harry K. Oxley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Keir Oxley's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUBLE BAY MANAGEMENT & PLANNING

FINANCIAL TELESIS INC

DOUBLE BAY MANAGEMENT & PLANNING

SUNAMERICA SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

MACKEN SECURITIES, INC.

Primary Firm SEC Registration

DOUBLE BAY MANAGEMENT & PLANNING

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1999

Series 63

Date: 1/16/1997

Series 7

Date: 1/10/1997

Series 24

Date: 7/10/1998

Current Firm

DOUBLE BAY MANAGEMENT & PLANNING

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOUBLE BAY MANAGEMENT & PLANNING

TRUST BUT VERIFY

Similar Advisors