AS
Alec C. Spring
OATH PLANNING
Tulsa, OK 74105
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CRD#: 7232710
AS
Professional summary
Alec Cole Spring, who also goes by Alec Spring, is a registered financial advisor currently at OATH PLANNING, LLC located in Tulsa, Oklahoma.
Alec is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Alec has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alec Spring
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alec Cole Spring'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®
NoneExperience
Current
November 16, 2021 - Present
OATH PLANNING, LLC
Office #1: 1214 East 33rd Street, Tulsa, OK 74105RIA
CRD#: 299187
Tulsa, OK
Past
June 24, 2020 - August 17, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OKLAHOMA CITY, OK
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".
OP
OATH PLANNING, LLC
OATH PLANNING, LLC
CRD#: 299187 / SEC#: 801-128168
RIA
Registered Investment Advisory firm - (6/16/2023 Approved)Arkansas
Registered Investment Advisory firm - (6/26/2023 Terminated)Colorado
Registered Investment Advisory firm - (6/23/2023 Terminated)Oklahoma
Registered Investment Advisory firm - (6/22/2023 Terminated)Tennessee
Registered Investment Advisory firm - (6/22/2023 Terminated)Texas
Registered Investment Advisory firm - (6/22/2023 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.Highlighted states indicate IAR registrations
IAR
Arkansas(11/16/2021)
IAR
Colorado(11/16/2021)
IAR
Oklahoma(11/16/2021)
IAR
Tennessee(11/19/2021)
IAR
Texas(11/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
OP
OATH PLANNING, LLC
OATH PLANNING, LLC
CRD#: 299187 / SEC#: 801-128168
RIA
Registered Investment Advisory firm - (6/16/2023 Approved)Arkansas
Registered Investment Advisory firm - (6/26/2023 Terminated)Colorado
Registered Investment Advisory firm - (6/23/2023 Terminated)Oklahoma
Registered Investment Advisory firm - (6/22/2023 Terminated)Tennessee
Registered Investment Advisory firm - (6/22/2023 Terminated)Texas
Registered Investment Advisory firm - (6/22/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1214 East 33rd Street, Tulsa, OK 74105
Mailing Address
Phone number
(918) 200-9094
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 838 |
| AUM (Assets Under Management) | $ 200,568,164 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OATH PLANNING, LLC
CRD#: 299187Tulsa, OK 74105TRUST BUT VERIFY
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