Grant G. Oie
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.
Grant Gordon Oie, who also goes by Grant Oie, was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 2019. Grant had worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2019 - January 27, 2021
CRAIG-HALLUM CAPITAL GROUP 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
Series 79TO
Date: 3/4/2019
Investment Banking Registered Representative ExaminationCurrent Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
