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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JONATHAN A OAKES

Advisor at UBS FINANCIAL SERVICES INC.

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:b20cd97c-3451-455e-2af0-a9f9de52627d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 27, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 15, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Oct 15, 1998
First registration: Feb 27, 2004
Dual registered: yes, broker-dealer
Other names: JONATHAN ANDREW OAKES|ANDY OAKES|ANDY OAKES
IAPD individual key: 3128345

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 25, 2022	n/a	yes	KNOXVILLE, TN	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 17, 2014	Jan 27, 2022	no	KNOXVILLE, TN	Previous registration
LECONTE WEALTH MANAGEMENT, LLC	Independent wealth	Aug 12, 2013	May 15, 2014	no	MARYVILLE, TN	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jan 16, 2009	Sep 11, 2013	no	MARYVILLE, TN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 9, 2008	Jan 6, 2009	no	KNOXVILLE, TN	Previous registration
LANDOAK SECURITIES, LLC	n/a	Oct 26, 2004	Dec 12, 2005	no	KNOXVILLE, TN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 27, 2004	Nov 2, 2004	no	KNOXVILLE, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jan 27, 2022	Jan 25, 2022	-2	Firm change	Wirehouse to wirehouse
LECONTE WEALTH MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 15, 2014	Jun 17, 2014	33	Firm change	Other
COMMONWEALTH FINANCIAL NETWORK	LECONTE WEALTH MANAGEMENT, LLC	Sep 11, 2013	Aug 12, 2013	-30	Firm change	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	COMMONWEALTH FINANCIAL NETWORK	Jan 6, 2009	Jan 16, 2009	10	Firm change	Wirehouse to ibd
LANDOAK SECURITIES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 12, 2005	Apr 9, 2008	849	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LANDOAK SECURITIES, LLC	Nov 2, 2004	Oct 26, 2004	-7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:8174:TN:2022-01-27	Jan 27, 2022	Jan 25, 2022	KNOXVILLE, TN	Firm change

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 25, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 17, 2014 to Jan 27, 2022factForm ADV
→ LECONTE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 12, 2013 to May 15, 2014factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jan 16, 2009 to Sep 11, 2013factForm ADV
→ LANDOAK SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 26, 2004 to Dec 12, 2005factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 27, 2004 to Nov 2, 2004factForm ADV

Dated events

Occurred
Jan 27, 2022
Advisor changed firm
Jonathan A Oakes left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2022-01-25)
Form ADVobserved 4 days ago