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Jeffrey Oster Resigns from Raymond James Financial Services

Jeffrey Oster (CRD #: 1666083), a broker registered with Raymond James Financial Services, resigned from his firm, according to his BrokerCheck record, accessed on September 17, 2022. If you want to learn more about his conduct as a broker, read on.

Resignation from Raymond James Financial Services

On August 1, 2022, Jeffrey Oster resigned from Raymond James Financial Services for allegedly failing to follow firm policies involving work location and the use of approved messaging platforms. He is also alleged to have shared commission payments with an unregistered office assistant.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 2040

FINRA Rule 2040 forbids FINRA members from paying commissions or other forms of compensation to unregistered brokers.

Background Information

Jeffrey Oster has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 51 – Municipal Fund Securities Principal Examination
  • Series 24 – General Securities Principal Examination

In the past, he worked for the following firms:

  • Raymond James Financial Services (CRD#:6694)
  • Aon Securities Corporation (CRD#:4138)
  • Prudential Securities (CRD#:7471)
  • Spelman & Company (CRD#:10232)
  • Advantage Capital Corporation (CRD#:146)
  • Federation For Financial Independence (CRD#:13355)
  • Integrated Resources Equity Corporation (CRD#:6403)

Kurta Law Can Help

If you worked with Jeffrey Oster and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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