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Albert W. Oakes

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CRD#: 729128
AO

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.

Albert Womble Oakes IV was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1981. Albert had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 1998 - December 17, 2004

MAGELLAN SECURITIES INC

BD
CRD#: 15986
HARPER WOODS, MI
Past

February 12, 1996 - August 19, 1996

SAUNDERS RETIREMENT ADVISORS, INC.

BD
CRD#: 35041
RICHMOND, VA
Past

July 10, 1991 - June 29, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 1, 1989 - July 9, 1991

SHEEN FINANCIAL RESOURCES, INC.

BD
CRD#: 22498
Past

January 2, 1988 - January 20, 1988

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

December 2, 1987 - April 27, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

June 3, 1987 - October 14, 1987

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

June 3, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682
Past

February 21, 1986 - June 17, 1986

OBERWEIS SECURITIES, INC.

BD
CRD#: 7739
Past

November 21, 1984 - July 26, 1985

INVESTORS SECURITY COMPANY, INC.

BD
CRD#: 2331
Past

October 17, 1984 - October 24, 1984

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

April 20, 1981 - October 19, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/27/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/16/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/1989
General Securities Principal Examination

Current Firm

MS
MAGELLAN SECURITIES INC
BECKER FINANCIAL SERVICES, INC. | MAGELLAN SECURITIES INC

CRD#: 15986 / SEC#: , 8-33047

BD
Terminated by SEC on 02/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 12/18/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LAYMON, TERRY MICHAELRETIRED304342

Disclosures

Regulatory Event6
Arbitration2

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.

Company Information

MAGELLAN SECURITIES INC

CRD#: 15986

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