Donald Oates has been an investment adviser representative at Lombard Advisers since March 2013, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
- – present · 13 yearsHampstead, MD · Adviser representative · Firm CRD 108231
Investment adviser representative registrations
Donald Oates is registered as an investment adviser representative in Maryland, since March 2013.
- MarylandSince 27 March 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 25 April 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 1986 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 September 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Donald Eugene Oates
- CRD
- 1180250
- Firm
- Lombard Advisers · CRD 108231
- Office
- 4014 HAMPSTEAD MEXICO ROAD, Hampstead, MD 21074
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Donald Oates work?
Donald Oates is an investment adviser representative registered through Lombard Advisers Incorporated since March 2013, and is not listed among the firm’s executive officers or direct owners.
Is Donald Oates a financial advisor?
Yes. Donald Oates has a current investment-adviser registration in Maryland, through Lombard Advisers since March 2013.
How many years of experience does Donald Oates have?
Donald Oates has 43 years in the financial industry, since October 1983, across 1 adviser firm.
What exams has Donald Oates passed?
Donald Oates has passed 3 licensing exams: the Series 6, Series 63 and Series 7. The earliest, the Series 6, was passed in September 1983. FINRA credited Donald Oates with the SIE, which began in October 2018.
Where is Donald Oates based?
Donald Oates’ registered office is in Hampstead, MD.
Is Donald Oates registered with FINRA?
Yes. Donald Oates has a current broker registration, under CRD 1180250.
Source: FINRA BrokerCheck
How can I verify Donald Oates’ record?
Search CRD 1180250 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Donald Oates’ full registration record.