Joseph A. Rak

OCM INVESTMENTS

New York, NY 10019

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CRD#: 3114245

Professional summary

Joseph Anthony Rak is a registered financial professional currently at OCM INVESTMENTS, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Joseph Anthony Rak'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

July 20, 2022 - Present

OCM INVESTMENTS, LLC

Office #1: 1301 Avenue Of The Americas 34th Floor, New York, NY 10019

CRD#: 128803

New York, NY

Past

March 20, 2018 - July 1, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

April 12, 2016 - March 15, 2018

BNY MELLON SECURITIES CORPORATION

CRD#: 231

New York, NY

Past

February 14, 2011 - April 8, 2016

PIMCO INVESTMENTS LLC

CRD#: 154957

NEW YORK, NY

Past

January 3, 2007 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

July 31, 2006 - January 4, 2007

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

March 7, 2006 - December 8, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 22, 1998 - January 18, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/12/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 7/18/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OCM INVESTMENTS, LLC

CRD#: 128803 / SEC#: , 8-66176

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

333 South Grand Avenue (28th Floor), Los Angeles, CA 90071

Mailing Address

333 South Grand Avenue (28th Floor), Los Angeles, CA 90071

Phone number

(213) 830-6300

Established

Delaware since 08/04/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OAKTREE CAPITAL MANAGEMENT, L.P.	MANAGING MEMBER	106793
EDWARDS, JOHN BREWER	FINOP/CFO	4714451
TOOMEY, MICHAEL PATRICK	CCO	4482914
TREFZ, MICHAEL CONSTANTINE	CHIEF EXECUTIVE OFFICER	3144335

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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Joseph A. Rak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Rak's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BNY MELLON SECURITIES CORPORATION

PIMCO INVESTMENTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

PFS INVESTMENTS INC.

CITIGROUP GLOBAL MARKETS INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/12/2011

Series 63

Date: 10/5/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1998

Series 51

Date: 7/18/2006

Series 24

Date: 6/26/2006

FINRA

Current Firm

OCM INVESTMENTS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OCM INVESTMENTS, LLC

TRUST BUT VERIFY

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