Aaron O. Finch

OAKLEY FINANCIAL LLC

Fort Mill, SC

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CRD#: 4964803

Professional summary

Aaron Oakley Finch is a registered financial advisor currently at OAKLEY FINANCIAL LLC located in Fort Mill, South Carolina.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Aaron has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

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. Aaron Finch, Sole Proprietor; Yes; Fort Mill, SC; Fixed Insurance Sales; Insurance Agent; 01/2003; 4HRS/MO; 0HRS/MO; Fixed insurance sales. 2. The Charming Cottage, LLC; No; Livonia, NY; Rental Property; Owner; 05/2018; 4HRS/MO; 0HRS/MO; Oversee maintenance of the property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Oakley Finch'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

March 18, 2024 - Present

OAKLEY FINANCIAL LLC

RIA

CRD#: 328793

Fort Mill, SC

Past

July 22, 2015 - December 31, 2023

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

SYRACUSE, NY

Past

July 9, 2008 - July 15, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

AMHERST, NY

Past

February 5, 2008 - April 25, 2008

SAGE, RUTTY & CO., INC.

RIA

CRD#: 3254

ROCHESTER, NY

Past

December 12, 2005 - April 25, 2008

SAGE, RUTTY & CO., INC.

CRD#: 3254

ROCHESTER, NY

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

North Carolina
(3/20/2024)

IAR

South Carolina
(3/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/29/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/31/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2005

General Securities Representative Examination

Current Firm

OAKLEY FINANCIAL LLC

CRD#: 328793 / SEC#:

North Carolina

Registered Investment Advisory firm - (3/20/2024 Approved)

South Carolina

Registered Investment Advisory firm - (3/18/2024 Approved)

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Contact information

Main Address

Fort Mill, SC

Mailing Address

Phone number

(585) 465-2220

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Aaron O. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Oakley Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKLEY FINANCIAL LLC

VOYA FINANCIAL PARTNERS, LLC

PRINCIPAL SECURITIES, INC.

SAGE, RUTTY & CO., INC.

SAGE, RUTTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/2023

Series 66

Date: 5/31/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2005

Current Firm

OAKLEY FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

OAKLEY FINANCIAL LLC

TRUST BUT VERIFY

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