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Gregory I. Oda

AG FINANCIAL
Salt Lake City, UT 84121
Some features on this profile are disabled
CRD#: 5011288
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Professional summary

Gregory Inouye Oda, who also goes by Greg Oda, Gregory Oda, is a registered financial advisor currently at AG FINANCIAL located in Salt Lake City, Utah and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Salt Lake City, Utah.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Gregory has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Greg Oda | Gregory Oda

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.) AG FINANCIAL, LLC - AGENT/ADVISOR - INDEPENDENT INSURANCE AGENCY - SALT LAKE CITY, UT - SINCE 01/2009 - INVESTMENT RELATED 2.) AG FINANCIAL - INVESTMENT ADVISOR - REGISTERED INVESTMENT ADVISOR - SALT LAKE CITY, UT - SINCE 06/2008 - INVESTMENT RELATED 3.) AG FINANCIAL LLC - DBA NAME FOR MARKETING PURPOSES ONLY - SALT LAKE CITY, UT - SINCE 09/2019 - INVESTMENT RELATED 4.) GREGORY ODA - INSURANCE AGENT - INDEPENDENT INSURANCE AGENCY - SALT LAKE CITY, UT - SINCE 01/2009 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Inouye Oda's CRS (Customer Relationship Summary).
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

September 24, 2008 - Present

AG FINANCIAL

Office #1: 2825 East Cottonwood Parkway Suite 500, Salt Lake City, UT 84121
RIA
CRD#: 140226
Salt Lake City, UT
Current

June 9, 2008 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 2825 E Cottonwood Pkwy Ste 500, Salt Lake City, UT 84121
RIA
BD
CRD#: 20804
Salt Lake City, UT
Past

April 2, 2007 - April 16, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SALT LAKE CITY, UT
Past

April 2, 2007 - April 16, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SALT LAKE CITY, UT
Past

September 29, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SALT LAKE CITY, UT
Past

September 8, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
AG FINANCIAL
AG FINANCIAL | AG FINANCIAL, LLC

CRD#: 140226 / SEC#: 801-66579

RIA
Registered Investment Advisory firm - (4/19/2006 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/8/2008)
RR
California
(6/9/2008)
RR
Colorado
(7/8/2008)
RR
Idaho
(1/22/2013)
RR
Minnesota
(7/1/2013)
RR
Montana
(6/23/2015)
RR
Nevada
(6/23/2015)
RR
Texas
(3/2/2018)
RR
Utah
(6/9/2008)
IAR
Utah
(9/25/2008)
RR
Washington
(6/9/2008)
RR
Wyoming
(7/8/2008)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/3/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AG FINANCIAL
AG FINANCIAL | AG FINANCIAL, LLC

CRD#: 140226 / SEC#: 801-66579

RIA
Registered Investment Advisory firm - (4/19/2006 Approved)
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Contact information

Main Address
2825 East Cottonwood Parkway Suite 500, Salt Lake City, UT 84121
Mailing Address
Phone number
(801) 990-3470
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AG FINANCIAL, ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts418
AUM (Assets Under Management)$ 105,332,451

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

AG FINANCIAL

CRD#: 140226Salt Lake City, UT 84121

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