Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Beth? Claim Your ProfileBeth Oakes is a financial advisor with Wells Fargo Clearing Services, LLC, with over 20 years of experience in the industry. Beth is a Registered Representative with the Series 7, 24, 4, 53, and 63 licenses and holds the SIE designation. Beth is also a licensed attorney, but does not practice law in a manner related to investments. Beth is a Registered Investment Advisor in the state of Missouri. Beth's previous experience includes time with firms such as PURSHE KAPLAN STERLING INVESTMENTS, SAXONY SECURITIES, INC., LASALLE ST SECURITIES, L.L.C. and EISNER SECURITIES, INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
09/18/2012 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
04/06/2010 - 11/12/2010
PURSHE KAPLAN STERLING INVESTMENTS (CLAYTON MO)
MO
02/13/2002 - 12/16/2004
SAXONY SECURITIES, INC. (ST. LOUIS MO)
IL
10/05/2001 - 11/23/2001
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
MO
03/10/1999 - 11/01/2001
EISNER SECURITIES, INC. (ST. LOUIS MO)
IL
09/29/2001 - 10/03/2001
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
IA
Issued 04/15/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2010
Series 24 - General Securities Principal Examination
BC
Issued 09/25/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/25/1999
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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