Kenneth R. Oasis
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.
Kenneth R Oasis, who also goes by Ken Robert Oasis, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2008. Kenneth had worked at 2 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2009 - October 25, 2012
PYRAMIS DISTRIBUTORS CORPORATION LLC
September 17, 2008 - February 4, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
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
Current Firm
PYRAMIS DISTRIBUTORS CORPORATION LLC
CRD#: 146430 / SEC#: , 8-67821
Contact information
Documents
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.
