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Lee anne Bastidas

Pacific OAK Capital Markets, LLC

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About Lee anne Bastidas

Lee Anne Bastidas is a financial advisor with over 23 years of experience in the financial services industry. Lee Anne is currently registered with Pacific OAK Capital Markets, LLC and holds Series 7, Series 63, SIE and Series 79TO licenses. Prior to joining Pacific OAK Capital Markets, LLC, Lee Anne was with ARETE WEALTH MANAGEMENT, LLC, KBS CAPITAL MARKETS GROUP LLC, PRINCIPAL FUNDS DISTRIBUTOR, INC., PRINCOR FINANCIAL SERVICES CORPORATION, and OPPENHEIMERFUNDS DISTRIBUTOR, INC. Lee Anne is registered to provide securities services in 52 states.

Firm Information

Lee anne Bastidas is currently registered with Pacific OAK Capital Markets, LLC. Pacific OAK Capital Markets, LLC is a Limited Liability Company formed on March 26, 2020. The firm is registered with the Securities and Exchange Commission and all 50 states, as well as Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

18

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Lee anne Bastidas’s Registration & Firm History

CA

01/06/2021 - Present

Pacific OAK Capital Markets, LLC (COSTA MESA CA)

IL

11/14/2018 - 12/31/2020

ARETE WEALTH MANAGEMENT, LLC (CHICAGO IL)

CA

02/02/2010 - 11/07/2018

KBS CAPITAL MARKETS GROUP LLC (NEWPORT BEACH CA)

IA

05/09/2005 - 09/09/2009

PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)

IA

07/18/2007 - 09/22/2008

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

NY

03/25/1998 - 05/03/2005

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/16/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/31/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lee anne Bastidas.
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