A. J. Oakes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
A. James Oakes, who also goes by Anthony James Oakes Jr, A. James Oakes Jr. Jr., A. James Oakes Jr., was a registered financial professional .
A. is a previously registered financial professional and started their career in finance in 1969. A. had worked at 12 firms and has passed the Series 63, Series 000, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2012 - October 23, 2012
NATIONAL SECURITIES CORPORATION
April 9, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
December 14, 2011 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
May 18, 2009 - May 11, 2012
LEGEND MERCHANT GROUP, INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
April 5, 2006 - August 12, 2006
PIPER SANDLER & CO.
April 5, 2006 - August 12, 2006
PIPER SANDLER & CO.
July 8, 1997 - April 27, 2006
UBS FINANCIAL SERVICES INC.
August 8, 1996 - April 27, 2006
UBS FINANCIAL SERVICES INC.
December 22, 1993 - August 12, 1996
FIRST MANHATTAN SECURITIES LLC
September 27, 1991 - December 23, 1993
JOSEPHTHAL & CO., INC.
July 27, 1990 - September 30, 1991
L. H. ALTON & COMPANY
December 3, 1984 - February 20, 1990
S.G. WARBURG & CO. INC.
February 24, 1983 - September 4, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
May 22, 1981 - March 7, 1983
SCHRODER & CO. INC.
May 19, 1969 - June 4, 1981
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 5/16/1969
General Securities Principal ExaminationSeries 1
Date: 5/16/1969
Registered Representative ExaminationSeries 8
Date: 9/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
