RO
Robert Oakes
PROSPERITY - AN EISNERAMPER COMPANY
Raleigh, NC 27607
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CRD#: 6698457
RO
Professional summary
Robert Oakes, CFP®, who also goes by Brad Oakes, Robert Bradford Oakes, Robert Oakes, Brad Oakes, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Raleigh, North Carolina and DAI SECURITIES, LLC located in Raleigh, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Oakes | Robert Bradford Oakes | Robert Oakes | Brad Oakes
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) FIXED INSURANCE AND ANNUITY SALES - POSITION: Insurance Agent NATURE: Fixed Annuity and Insurance Sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/2024. 1500 Sunday Drive, Suite 300, Raleigh, NC 27607. 2) JOHNSTON HEALTH BOARD OF COMMISSIONERS POSITION: Board NATURE: General oversight of Johnston Health UNC Hospital. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 509 N. Brightleaf Blvd., Smithfield NC 27577, United States DESCRIPTION: General oversight of Johnston Health UNC Hospital. 3) UNC REX HEALTHCARE POSITION: Board of Directors NATURE: The Board of Directors provides general governance and accountability for UNC Rex Healthcare, a non-profit hospital in Raleigh North Carolina. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2020 ADDRESS: 4420 Lake Boone Trail, Raleigh NC 27607, United States DESCRIPTION: Board members are responsible for overall governance of the hospital including operations and strategic planning. 4) DDO WEALTH MANAGEMENT, LLC POSITION: Owner INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2018 ADDRESS: 378 Rachels Way, Clayton NC 27520
CRS (Client Relationship Summary) - RIA
Click below to view Robert Oakes's 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®
Experience
Current
September 3, 2024 - Present
PROSPERITY - AN EISNERAMPER COMPANY
Office #1: 1500 Sunday Drive Suite 300, Raleigh, NC 27607RIA
CRD#: 133777
Raleigh, NC
Current
August 26, 2024 - Present
DAI SECURITIES, LLC
Office #1: 1500 Sunday Dr Suite 300, Raleigh, NC 27607BD
CRD#: 36673
RALEIGH, NC
Past
October 25, 2019 - September 4, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Dallas, TX
Past
October 25, 2019 - September 4, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
RALEIGH, NC
Past
October 18, 2018 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Smithfield, NC
Past
October 18, 2018 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SMITHFIELD, NC
Past
October 21, 2016 - October 26, 2018
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Smithfield, NC
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".
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)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
IAR
North Carolina(9/3/2024)
RR
North Carolina(10/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117
Mailing Address
Phone number
(410) 363-7211
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,557 |
| AUM (Assets Under Management) | $ 3,195,898,263 |
Red Flags
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Company Information
PROSPERITY - AN EISNERAMPER COMPANY
CRD#: 133777Raleigh, NC 27607TRUST BUT VERIFY
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