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Registration History
1980198519901995200020052010201520202025IAOAK TREE SECURITIES, INC. (CRD# 18126)2009 - Present (16 years)BOAK TREE SECURITIES, INC. (CRD# 18126)1986 - Present (38 years)BPATTERSON FINANCIAL SERVICES, INC. (CRD# 10368)1984 - 1986 (2 years)BFINANCIAL PLANNERS EQUITY CORP... (CRD# 7420)1980 - 1984 (3 years)BINDEPENDENT SECURITIES CORPORATION (CRD# 262)1977 - 1983 (5 years)BINDEPENDENT FINANCIAL PLANNERS... (CRD# 653)1978 - 1980 (2 years)BPUTNAM FUND DISTRIBUTORS, INC. (CRD# 684)1976 - 1977 (1 year)IAOAK TREE SECURITIES, INC. (CRD# 18126)2002 - 2005 (3 years)
Disclosure(s)
View By:
10/7/2022
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/15/2018

B
Kentucky 2/23/2022

B
California 8/21/1986

B
Missouri 9/14/2018

IA
California 1/30/2009

B
Nevada 1/30/2013

B
Florida 8/15/2018

B
New Mexico 8/15/2018

B
Hawaii 7/1/2022

B
Oregon 1/9/2018

B
Idaho 4/29/2008

B
Texas 8/15/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OAK TREE SECURITIES, INC. (CRD#:18126)
BRENTWOOD, CA
Registered with this firm since 1/30/2009

B
OAK TREE SECURITIES, INC. (CRD#:18126)
BRENTWOOD, CA
Registered with this firm since 7/24/1986

Previous Registration(s)
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IA
07/30/2002 - 12/13/2005 OAK TREE SECURITIES, INC. (CRD#:18126) SACRAMENTO, CA
B
06/08/1984 - 08/21/1986 PATTERSON FINANCIAL SERVICES, INC. (CRD#:10368)
B
04/01/1980 - 03/29/1984 FINANCIAL PLANNERS EQUITY CORPORATION (CRD#:7420)
FINRA expelled the firm on 08/25/1988
B
03/21/1977 - 01/25/1983 INDEPENDENT SECURITIES CORPORATION (CRD#:262)
B
04/12/1978 - 06/06/1980 INDEPENDENT FINANCIAL PLANNERS CORPORATION (CRD#:653)
B
01/27/1976 - 05/23/1977 PUTNAM FUND DISTRIBUTORS, INC. (CRD#:684)
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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.