Thomas Oakes, financial advisor Grandville MI
38 score

Thomas Oakes

CRD 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 31 years of experience in the finance industry.

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Company Name Location Dates Years
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
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:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Thomas C. Oakes
Phone Number: 616-538-2550
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Other
Types of Clients
Registered States


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