Stephen D. Oatway
Professional summary
Stephen Douglas Oatway was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Stephen had worked at 4 firms, which includes USALLIANZ SECURITIES INC., EDWARD JONES, ARGENT SECURITIES INC., QUEST CAPITAL STRATEGIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2002 - October 18, 2004
USALLIANZ SECURITIES, INC.
August 10, 1998 - September 20, 2002
EDWARD JONES
April 22, 1998 - September 28, 1998
ARGENT SECURITIES, INC.
March 5, 1998 - April 17, 1998
QUEST CAPITAL STRATEGIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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