Mike Oakes

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2022-11-14

CO RA
APPROVED

Since 2022-11-14

Branch Locations

801 Main St Ste 300, Louisville, CO 80027 • 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
Wells Fargo Advisors Llc	Boulder	CO	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Boulder	CO	11/2016	11/2022
Wells Fargo Advisors Financial Network, Llc	Louisville	CO	11/2022	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Boulder, CO
11/2016 → 11/2022

Wells Fargo Clearing Services, Llc

Boulder, CO
11/2022 → Present

Wells Fargo Advisors Financial Network, Llc

Louisville, CO

Previous Registrations

2011-01-03 → 2022-11-10

Wells Fargo Clearing Services, Llc

Boulder, CO

Denver, CO

Denver, CO

Boulder, CO

Boulder, CO

Boulder, CO

Boulder, CO

Denver, CO

Boulder, CO

Boulder, CO

Boulder, CO

Denver, CO

Longmont, CO

Boulder, CO

Boulder, CO
2006-06-29 → 2011-01-03

Wells Fargo Investments, Llc

Parker, CO

Boulder, CO

Other Businesses

OAKES WEALTH MANAGEMENT LLC;; INV RELATED; LOUISVILLE, CO; USED FOR ASSET PROTECTION & ESTATE PLANNING; 100% OWNERSHIP; START DATE 02/14/2025; 1 HOUR PER MONTH; 1 HOUR DURING TRADING NATIVITY OF OUR LORD CATHOLIC PARISH; INV RELATED; BROOMFIELD, CO; COMMUNITY PROPERTY HOLDER; FINANCE COMMITTEE MEMBER; START DATE: 09/01/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-26

S66 Uniform Combined State Law Examination

2006-06-26

Designations

Other Names

Mike Oakes
Michael James Oakes

View on SEC IAPD