Gabriella B. Oakes
Professional summary
Gabriella Briceno Oakes, who also goes by Gabriella Briceno, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Austin, Texas.
Gabriella is registered as a RR (Registered Representative) and started their career in finance in 2013. Gabriella has worked at 4 firms and has passed the Series 63, SIE, Series 50, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gabriella Briceno Oakes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2023 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 1250 S Capital Of Texas Highway Building 3, Suite 400, Austin, TX 78746July 17, 2019 - February 1, 2023
RBC CAPITAL MARKETS, LLC
January 22, 2016 - July 3, 2019
HILLTOP SECURITIES INC.
September 5, 2013 - January 22, 2016
FIRST SOUTHWEST 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
(2/6/2023)
Exams
FINRA
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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