Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Oakes is an Investment Advisor Representative (IAR) at UBS Financial Services Inc. Jonathan has been in the financial services industry since October 4, 2000. Jonathan is registered with FINRA as well as state regulators in TN and TX. Jonathan has passed the Series 7, Series 63, and Series 66 exams. UBS Financial Services Inc. is a large, well-established firm with a broad range of financial services, and Jonathan is a valuable part of their team. Jonathan is a member of the advisory board of the Episcopal Church of the Ascension.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TN
01/25/2022 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
06/11/2014 - 01/27/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KNOXVILLE TN)
TN
01/16/2009 - 09/11/2013
COMMONWEALTH FINANCIAL NETWORK (MARYVILLE TN)
TN
10/24/2007 - 01/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KNOXVILLE TN)
TN
10/26/2004 - 12/12/2005
LANDOAK SECURITIES, LLC (KNOXVILLE TN)
MN
10/21/1998 - 11/02/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/21/1998 - 11/02/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 04/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Jonathan Oakes is the right advisor for you? Invested Better is here to help.
