Troy Oates (CRD# 6061425) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Saint Charles, IL and has over 4 years of experience in the finance industry.
CRD# 4478796
Krd Financial
Score
106
CRD# 5307693
Forum Financial Management, LP
Score
104
CRD# 5207046
Nfp Advisor Services, LLC
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Raymond James Financial Services Advisors Inc. | St. Charles, IL | Apr 2016 - Current | 1 |
| Raymond James Financial Services, Inc. | St. Charles, IL | Apr 2015 - Current | 2 |
| Sigma Financial Corporation | Rockford, IL | Dec 2012 - Feb 2016 | 3 |
| Sigma Financial Corporation | Rockford, IL | May 2012 - Dec 2012 | < 1 |
| Unemployed | Genoa, IL | Nov 2011 - Apr 2012 | < 1 |
| Ibew #117 | Crystal Lake, IL | Jun 1995 - Oct 2011 | 16 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Feb 2013 |
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:- Criminal Record
- IL
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Total Assets Under Management64,210MILLIONS
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Total Number of Accounts224,839ACCOUNTS
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Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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