Robert N. Oram
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 Norman Oram was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 11 firms and has passed the Series 65, Series 63, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2019 - November 17, 2022
HPA FINANCIAL GROUP, LLC
September 10, 2013 - January 16, 2014
WELLINGTON SHIELDS & CO., LLC
September 9, 2013 - January 16, 2014
WELLINGTON SHIELDS & CO., LLC
March 4, 2010 - April 23, 2012
B. RILEY WEALTH MANAGEMENT
September 12, 2005 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
October 5, 2004 - September 28, 2005
CITIGROUP GLOBAL MARKETS INC.
May 16, 2003 - September 28, 2005
CITIGROUP GLOBAL MARKETS INC.
January 7, 1997 - May 2, 2003
CREDIT SUISSE SECURITIES (USA) LLC
July 12, 1996 - January 8, 1997
SBC WARBURG DILLON READ INC.
May 14, 1990 - July 17, 1996
ALEX. BROWN & SONS INCORPORATED
September 18, 1987 - May 24, 1990
CIBC WORLD MARKETS CORP.
November 8, 1983 - October 5, 1987
CITIGROUP GLOBAL MARKETS INC.
February 24, 1981 - November 7, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 1, 1980 - March 19, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 11/27/1984
Interest Rate Options ExaminationSeries 8
Date: 5/9/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HPA FINANCIAL GROUP, LLC
CRD#: 289062 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 70 |
| AUM (Assets Under Management) | $ 16,736,677 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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