Michael John Oates
Professional Summary
Michael John Oates, who also goes by Michael Oates, is a registered financial advisor currently at RANCE KING SECURITIES CORP. located in Long Beach, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Oates
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
R.K. SECURITIES | RANCE KING SECURITIES CORP.
Contact Information
Main Address
3737 E. Broadway, Long Beach, CA 90803-6104Mailing Address
3737 E. Broadway, Long Beach, CA 90803-6104Phone Number
(562) 240-1000Established
California since 06/29/1984Firm Type
CorporationFiscal Year End
JanuaryFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/8/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 2013About the Series 22 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael John Oates's CRS (Customer Relationship Summary).
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