Articles Tagged with Joseph Oakes

Joseph Oakes

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that New Jersey-based Signator Investors broker/adviser Joseph Oakes is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Oakes (CRD# 350102).

Joseph Oakes has spent 49 years in the securities industry and has been registered with Signator Investors in Livingston, New Jersey since 1968. Previous registrations include John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1971-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 28, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 27, 1984; Series 1 (Registered Representative Examination), which he obtained on August 22, 1968; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on April 14, 2003; and Series 24 (General Securities Principal Examination), which he obtained on April 1, 1996. He is a registered broker with one US state (New Jersey) and one self-regulatory organization (FINRA).

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.