Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC ( CRD # 42941/SEC#:801-80809,8-50082 )
EQUITY SECURITIES INVESTMENTS, INC., THE SWANSON GROUP, THE OAK RIDGE FINANCIAL SERVICES GROUP, INC., THE OAK RIDGE FINANCIAL SERVICES GROUP, INC, THE OAK RIDGE FINANCIAL SERVICES GROUP INC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/15/2015
FloridaTerminated5/18/2015
IdahoTerminated12/31/2009
IllinoisTerminated12/31/2009
MinnesotaTerminated5/18/2015
MontanaTerminated12/31/2012
WashingtonTerminated12/14/2009
WisconsinTerminated3/31/2015
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alaska12/17/2024
Arizona6/6/2023
Arkansas12/17/2024
California3/30/2015
Colorado6/6/2023
Connecticut6/6/2023
Delaware2/15/2019
Florida3/30/2015
Georgia6/6/2023
Hawaii6/6/2023
Idaho6/6/2023
Illinois4/9/2015
Iowa4/17/2023
Massachusetts9/18/2023
Michigan6/6/2023
Minnesota3/30/2015
Missouri3/14/2016
Nevada6/6/2023
New Jersey4/10/2024
New Mexico6/6/2023
New York6/6/2023
North Carolina6/21/2023
North Dakota4/10/2024
Ohio6/6/2023
Oregon6/21/2023
Rhode Island4/4/2016
South Carolina6/6/2023
South Dakota6/6/2023
Tennessee6/6/2023
Texas3/30/2015
Virginia6/6/2023
Washington6/2/2023
Wisconsin3/30/2015
Wyoming6/6/2023
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.