John S. 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.
John Scott Oakes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 15, Series 5, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2007 - June 18, 2013
SECURITIES AMERICA, INC.
July 27, 2006 - December 10, 2007
FIRST ALLIED SECURITIES, INC.
January 12, 2001 - April 12, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - March 21, 2003
WELLS FARGO INVESTMENTS, LLC
December 7, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
December 6, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 6, 1977 - November 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 4, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 1
Date: 10/2/1972
Registered Representative ExaminationSeries 12
Date: 2/1/1979
NYSE Branch Manager ExaminationSeries 40
Date: 9/26/1977
Registered Principal ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
