Robert L. Owens
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.
Robert Lee Owens, who also goes by Robert L Owens, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2010. Robert had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2019 - May 19, 2021
RED OAK CAPITAL MANAGEMENT, INC.
April 24, 2017 - December 31, 2017
SGMA CAPITAL MARKETS LIMITED
August 17, 2016 - January 4, 2019
HAYDEN ROYAL
December 16, 2014 - August 9, 2016
IC ADVISORY SERVICES, INC.
December 16, 2014 - August 9, 2016
THE INVESTMENT CENTER, INC.
November 8, 2012 - December 19, 2014
PRUCO SECURITIES, LLC.
July 11, 2012 - December 19, 2014
PRUCO SECURITIES, LLC.
August 19, 2010 - June 29, 2012
EQUITABLE ADVISORS, LLC
April 6, 2010 - June 29, 2012
EQUITABLE ADVISORS, 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
RED OAK CAPITAL MANAGEMENT, INC.
CRD#: 284188 / SEC#: 801-112768
Contact information
Regulatory assets under management
| Total Number of Accounts | 687 |
| AUM (Assets Under Management) | $ 85,012,321 |
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.
