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Oak Tree Securities, Inc. CRD 18126
$3.69M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
4049 1St Street Suite 129, Livermore, CA 94551-4949 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-26 |
| HI | RA | APPROVED | 2009-02-20 |
Branch Locations
900 Fort Street Mall Suite 965, Honolulu, HI 96813 • United States
Corte Madera, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2009-01-20 |
| CA | RA | APPROVED | 2005-04-27 |
Branch Locations
Diversified Planning Concepts, Inc., Corte Madera, CA 94925 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oak Tree Securities | Livermore | CA | 09/2001 | Present |
SELLS INSURANCE PRODUCTS. CFP OFFERING ESTATE PLANNING. Started OBA in Jan 2004. Hours can vary throughout the year. REGISTERED WITH DIVERSIFIED PLANNING CONCEPTS (RIA) All three OBA's are conducted at the branch office address listed with FINRA and are investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-06 |
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