JO
James T. Oakley
OXBOW ADVISORS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 813008
JO
Professional summary
James Theodore Oakley, CFP®, who also goes by James T Oakley, James Terry Oakley, Ted Oakley, is a registered financial advisor currently at OXBOW ADVISORS, LLC located in Austin, Texas and HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. James has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, PC, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James T Oakley | James Terry Oakley | Ted Oakley
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.
63% OWNERSHIP IN OXBOW ADVISORS, LLC. AMERICAN BANK, NON-INVESTMENT RELATED, CORPUS CHRISTI TX, DIRECTOR SINCE 03/2005. FOSTER ANGELS OF SOUTH TEXAS, FOUNDER, NON-PROFIT, TEXAS, FOUNDATION HELPING FOSTER CHILDREN, SINCE 2001, FOSTER ANGELS OF CENTRAL TEXAS, FOUNDER, NON-PROFIT, TEXAS, FOUNDATION HELPING FOSTER CHILDREN, SINCE 2010. BIGG WHALE LLC, NON-INVESTMENT RELATED PHOENIX, AZ, INVESTOR, 2016. HERNDON PLANT OAKLEY INSURANCE AGENCY, LC, OFFICER SINCE 11/2011. CORNERSTONE MERGER AND ACQUISTIONS, NON-INVESTMENT RELATED, CORPUS CHRISTI TX, 2 HOURS PER YEAR, PARTNER, FEBRUARY 2019. TEDOUPTICK LLC, NON-INVESTMENT RELATED,AUSTIN TX, 2 HOURS PER YEAR, DECEMBER 2020.
CRS (Client Relationship Summary) - RIA
Click below to view James Theodore Oakley'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®
CFP®
Start date: 1986
Experience
Current
June 13, 2011 - Present
OXBOW ADVISORS, LLC
Office #1: 200 West 6th Street Suite 1920, Austin, TX 78701RIA
CRD#: 156393
AUSTIN, TX
Current
August 21, 1998 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401Office #2: 200 West 6th Street Suite 1920, Austin, TX 78701RIA
BD
CRD#: 44971
Corpus Christi, TX
Past
August 26, 1998 - November 19, 2015
HERNDON PLANT OAKLEY, LTD.
RIA
CRD#: 44971
CORPUS CHRISTI, TX
Past
March 2, 1998 - October 9, 1998
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
September 20, 1985 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
October 8, 1976 - October 7, 1985
ROTAN MOSLE INC.
BD
CRD#: 727
Past
October 1, 1975 - November 21, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
OA
OXBOW ADVISORS, LLC
OXBOW ADVISORS, LLC
CRD#: 156393 / SEC#: 801-72387
RIA
Registered Investment Advisory firm - (6/6/2011 Approved)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
RR
Alabama(1/13/2005)
RR
Arizona(10/14/1998)
RR
Arkansas(9/22/1998)
RR
California(9/23/1998)
RR
Colorado(9/14/1998)
RR
Delaware(2/20/2018)
RR
District of Columbia(7/11/2018)
RR
Florida(8/26/1998)
RR
Georgia(7/21/1999)
RR
Hawaii(9/23/2003)
RR
Idaho(1/5/2017)
RR
Illinois(8/24/1998)
RR
Iowa(10/14/1998)
RR
Kansas(10/22/1998)
RR
Louisiana(10/15/1998)
RR
Massachusetts(2/19/1999)
RR
Michigan(10/15/1998)
RR
Mississippi(9/3/1998)
RR
Nevada(10/14/1998)
RR
New Jersey(1/17/2006)
RR
New Mexico(10/16/1998)
RR
New York(1/27/1999)
RR
North Carolina(10/12/1998)
RR
Ohio(10/13/1998)
RR
Oklahoma(8/25/1998)
RR
Oregon(10/12/1998)
RR
Pennsylvania(10/14/1998)
RR
South Carolina(10/12/1998)
RR
Tennessee(9/23/1998)
RR
Texas(9/18/1998)
IAR
Texas(6/13/2011)
RR
Utah(8/6/2021)
RR
Virginia(10/13/1998)
RR
Washington(8/26/1998)
RR
Wisconsin(8/24/2000)
RR
Wyoming(1/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OXBOW ADVISORS, LLC
OXBOW ADVISORS, LLC
CRD#: 156393 / SEC#: 801-72387
RIA
Registered Investment Advisory firm - (6/6/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 West 6th Street Suite 1920, Austin, TX 78701
Mailing Address
Phone number
(512) 386-1088
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,625 |
| AUM (Assets Under Management) | $ 2,097,433,511 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 03/14/2024 | ||
| 02/08/2023 |
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.
