Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Oliver? Claim Your ProfileOliver Oakes is a financial advisor with over 25 years of experience in the industry. Oliver is currently registered with J. Wood Capital Advisors LLC in California and has previously held positions with firms such as Morgan Stanley & Co. LLC, BANC of America Securities LLC, BANCBOSTON ROBERTSON STEPHENS INC., and CITICORP SECURITIES, INC. Oliver has a wide range of experience in the financial services industry, including investment banking, commodities, and securities. Oliver holds Series 7, 3, 63, SIE, and 79TO licenses.
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.
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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2
CA
09/11/2019 - Present
J. Wood Capital Advisors LLC (Santa Rosa CA)
NY
05/16/2000 - 09/03/2019
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
04/19/2000 - 05/02/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
12/22/1998 - 11/24/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
NY
05/02/1994 - 08/04/1997
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 05/16/1994
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 09/26/2000
Series 3 - National Commodity Futures Examination
BC
Issued 04/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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