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EO

Edward F. Oakes

THE OAKES FINANCIAL GROUP
Troy, NH
Some features on this profile are disabled
CRD#: 4947738
EO

Professional summary

Edward Finley Oakes is a registered financial advisor currently at THE OAKES FINANCIAL GROUP located in Troy, New Hampshire.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Edward has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1)HANCOCK TAX & FINANCIAL SERVICES; OWNER; Income Tax Preparation. NON-INVESTMENT RELATED; TAX, Accounting; 01/05-PRESENT; 160-160HRS/MO 3) OAKES FINANCIAL SERVICES, INC. DBA HANCOCK TAX & FINANCIAL TAXES, INVESTMENTS, DI AND LIFE INSURANCE 1/1/05 1 HOUR PER MOTNH AND DURING TRADING HOURS

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CRS (Client Relationship Summary) - RIA

Click below to view Edward Finley Oakes's 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

January 3, 2012 - Present

THE OAKES FINANCIAL GROUP

RIA
CRD#: 159355
Troy, NH
Past

December 13, 2006 - November 17, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
WESTFORD, MA
Past

December 13, 2006 - November 17, 2011

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
WESTFORD, MA
Past

July 25, 2005 - January 3, 2007

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
WESTFORD, MA

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(1/3/2012)
IAR
New Hampshire
(5/29/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/7/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2005
General Securities Representative Examination

Current Firm

TO
THE OAKES FINANCIAL GROUP
OAKES FINANCIAL SERVICES, INC. | THE OAKES FINANCIAL GROUP

CRD#: 159355 / SEC#:

Massachusetts
Registered Investment Advisory firm - (1/3/2012 Approved)
New Hampshire
Registered Investment Advisory firm - (5/20/2020 Approved)
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Contact information

Main Address
Troy, NH
Mailing Address
428 Richmond Rd, Troy, NH 03465
Phone number
(603) 313-6622
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts26
AUM (Assets Under Management)$ 12,216,267

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.

Company Information

THE OAKES FINANCIAL GROUP

CRD#: 159355Troy, NH

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