John D Oakes

Philadelphia, PA

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-02-12
PA	RA	APPROVED	2009-09-04

TX RA
APPROVED_RES

Since 2014-02-12
PA RA
APPROVED

Since 2009-09-04

Branch Locations

1650 Market Street 42Nd Floor, Philadelphia, PA 19103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Philadelphia	PA	08/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	12/2017	Present

08/2009 → Present

Morgan Stanley Smith Barney

Philadelphia, PA
12/2017 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2009-05-20 → 2009-09-30

Cambridge Investment Research Advisors, Inc.

Wayne, PA
2007-04-02 → 2007-05-23

Morgan Stanley & Co. Llc

Wayne, PA
2006-06-12 → 2007-04-02

Morgan Stanley Dw Inc.

Wayne, PA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-09

S66 Uniform Combined State Law Examination

2006-06-09

Other Names

John Oaks
John D Oaks
John D Oakes
John D Oakes Jr.

View on SEC IAPD

Other Firms

GLENMEDE INVESTMENT MANAGEMENT, LP

CLARK CAPITAL MANAGEMENT GROUP INC

GLOBAL ADVISERS, LLC

BIOPHY CAPITAL MANAGEMENT LLC

VERITABLE FINANCIALS LLC

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

EAB INVESTMENT GROUP, LLC

Other Investors

JASON DOUGLAS PRIDE

SEAN EDWARD HERON

MICHAEL CRAVENS CROW

Adam Mark Conish

Eric Jason Richman

Christopher J Nixon

Other Offices

GLENMEDE INVESTMENT MANAGEMENT, LP · PHILADELPHIA, PA

CLARK CAPITAL MANAGEMENT GROUP INC · PHILADELPHIA, PA

GLOBAL ADVISERS, LLC · PHILADELPHIA, PA

BIOPHY CAPITAL MANAGEMENT LLC · PHILADELPHIA, PA

VERITABLE FINANCIALS LLC · PHILADELPHIA, PA

CHARLES SCHWAB & CO., INC. · Philadelphia, PA

J.P. MORGAN SECURITIES LLC · Philadelphia, PA

EAB INVESTMENT GROUP, LLC · Philadelphia, PA

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