Tiffany Nealon has been Chief Compliance Officer of OASIS Investment Strategies since March 2026, is not listed as a control person, but directly owns under 5% of the firm.
Oasis Investment Strategies LLC is a Chicago, IL firm with $5.73B under management, 4 clients and 3 advisers in one office, as of its August 2026 filing.
Tiffany Nealon’s longest registration is the current one, 11 years at Stonex International Advisors Inc since 2015.
- Stonex Advisors Inc.Also current– present · under a yearMiami, FL · Adviser representative · Firm CRD 174182
- Stonex International Advisors IncAlso current– present · 11 yearsMiami, FL · Adviser representative · Firm CRD 153799
Investment adviser representative registrations
Tiffany Nealon is registered as an investment adviser representative in 3 states. The first approvals date from January 2015; the most recent is Connecticut, in May 2020.
- ConnecticutSince 15 May 2020
- FloridaSince 9 January 2015
- TexasSince 20 January 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 31 August 2024 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 34 | Retail Off-Exchange FOREX Examination | 28 August 2021 |
| Series 3 | National Commodity Futures Examination | 27 July 2021 |
| Series 16 | NYSE Supervisory Analyst Examination | 21 October 2020 |
| Series 27 | Financial and Operations Principal Examination | 17 November 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 30 April 2016 |
| Series 24 | General Securities Principal Examination | 6 February 2015 |
| Series 66 | Uniform Combined State Law Examination | 26 November 2014 |
| Series 7 | General Securities Representative Examination | 14 October 2004 |
- Name
- Securities Trader Exam
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Retail Off-Exchange FOREX Examination
- Name
- National Commodity Futures Examination
- Name
- NYSE Supervisory Analyst Examination
- Name
- Financial and Operations Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4858359
- Firm
- OASIS Investment Strategies · CRD 152957
- Role
- Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Tiffany Nealon work?
Tiffany Nealon has been Chief Compliance Officer of Oasis Investment Strategies LLC since March 2026.
Is Tiffany Nealon a financial advisor?
Yes. Tiffany Nealon has a current investment-adviser registration in Connecticut, Florida and Texas.
How many years of experience does Tiffany Nealon have?
Tiffany Nealon has 21 years in the financial industry, since November 2004, across 2 adviser firms.
What exams has Tiffany Nealon passed?
Tiffany Nealon has passed 11 licensing exams: the Series 7, Series 66, Series 24, Series 4, Series 27, Series 16, Series 3, Series 34, Series 14, Series 99TO and Series 57TO. The earliest, the Series 7, was passed in October 2004. FINRA credited Tiffany Nealon with the SIE, which began in October 2018.
Is Tiffany Nealon registered with FINRA?
Yes. Tiffany Nealon has a current broker registration, under CRD 4858359.
Source: FINRA BrokerCheck
How can I verify Tiffany Nealon’s record?
Search CRD 4858359 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Tiffany Nealon’s full registration record.