Richard Oxford, financial advisor Albany NY
81 score

Richard Oxford

CRD Number: 5475549
Current Firm: Dutch Asset Corporation

Richard Oxford (CRD# 5475549) is an Investment Advisor Representative working at Dutch Asset Corporation in Albany, NY and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Dutch Asset Corporation Albany, NY Dec 2015 - Current 1
Sowell Management Services Phoenix, AZ May 2014 - Dec 2015 1
Private Client, LLC Scottsdale, AZ May 2010 - May 2014 4
Oxford Retirement And Estate Planning, Inc. Sun City, AZ Feb 2004 - Dec 2011 7
Pension Protection Advisors, LLC Sun City, AZ Oct 2008 - Apr 2010 1
Brokers International Financial Panora, IA Jan 2008 - Oct 2008 < 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Richard L. Oxford
Phone Number: 518-478-8077
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    5
    MILLIONS
  • Total Number of Accounts
    96
    ACCOUNTS
  • Average Account Value
    $55,333
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, FL, GA, NY

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BADGES
81

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