Thomas OakesCRD Number: 1354152
Current Firm: Royal Advisors, LLC
Thomas Oakes (CRD# 1354152) is an Investment Advisor Representative working at Royal Advisors, LLC in Grandville, MI and has over 32 years of experience in the finance industry.
First Financial Advisors Inc.
Gabridge & Company Financial Advisors, LLC
Robert W. Baird & Company Incorporated
|Royal Securities Company||Grandville, MI||Oct 2003 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1985|
|S65||NASAA Investment Advisors Law Examination||Aug 1999|
|S66||NASAA Uniform Combined State Law Examination||Jun 2010|
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:
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management217MILLIONS
Total Number of Accounts1,702ACCOUNTS
Average Account Value$127,440
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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