Loy E. 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.
Loy Edson Oakes was a registered financial professional .
Loy is a previously registered financial professional and started their career in finance in 1969. Loy had worked at 9 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 1999 - October 31, 2002
LOY OAKES
March 29, 1999 - November 2, 2012
CALTON & ASSOCIATES, INC.
October 25, 1996 - March 1, 1999
SIGNAL SECURITIES, INC.
April 16, 1996 - September 17, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
February 11, 1993 - February 27, 1996
SCHNEIDER SECURITIES, INC.
March 24, 1992 - February 16, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 14, 1989 - November 30, 1990
PAULSON INVESTMENT COMPANY LLC
September 26, 1988 - August 30, 1989
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 19, 1969 - September 27, 1988
B. J. LEONARD AND COMPANY, 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 1
Date: 10/28/1968
Registered Representative ExaminationCurrent firm
No current employment
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.
