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Detailed Report
JASON SHENANDOAH OATES
JASON OATES
CRD#: 4966139
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 320 BROAD ST 4TH FL
[RBO]
CHARLESTON, SC 29401
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2009 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2009 (4 years)
License(s)

State Registrations

B
California 8/19/2015
B
New Jersey 10/28/2011
B
Colorado 1/23/2024
B
North Carolina 10/31/2011
B
Connecticut 10/11/2013
B
Ohio 1/22/2024
B
District of Columbia 3/5/2025
B
South Carolina 10/28/2011
B
Florida 10/28/2011
IA
South Carolina 11/2/2011
B
Georgia 10/31/2011
B
Texas 10/31/2011
B
Iowa 10/17/2016
IA
Texas 11/14/2011
B
Massachusetts 10/22/2024
B
Virginia 1/10/2023

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
320 BROAD ST 4TH FL [RBO], CHARLESTON, SC 29401
16 BROAD ST, CHARLESTON, SC 29401
Registered with this firm since 11/2/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
320 BROAD ST 4TH FL [RBO], CHARLESTON, SC 29401
16 BROAD ST, CHARLESTON, SC 29401
Registered with this firm since 10/28/2011
Previous Registration(s)
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IA
 05/26/2009 - 10/31/2011 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) CHARLESTON, SC
B
 05/22/2009 - 10/31/2011 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) CHARLESTON, SC
IA
 07/18/2004 - 05/13/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLESTON, SC
B
 06/23/2005 - 05/13/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLESTON, SC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.