Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Theodore Oakley has been in the financial industry since 1975 and is currently a registered representative and investment advisor representative with Oxbow Advisors, LLC. James has a broad range of experience and holds various licenses and certifications, including the Series 7, 63, 65, 24, and 99TO. James is also a Certified Financial Planner and a Chartered Financial Analyst. James's professional experience includes working for several firms, including Dain Rauscher Incorporated, Rauscher Pierce Refsnes, Inc., Rotan Mosle Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. James has a strong commitment to serving clients and is dedicated to providing them with personalized financial advice. James's expertise covers a broad range of financial planning needs.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
06/13/2011 - Present
Oxbow Advisors, LLC (AUSTIN TX)
NY
03/02/1998 - 10/09/1998
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
09/20/1985 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
10/08/1976 - 10/07/1985
ROTAN MOSLE INC.
NA
10/01/1975 - 11/21/1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 04/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1977
PC - AMEX Put and Call Exam
BC
Issued 09/20/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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