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Duane Mitchell Oakes

Investment Adviser Representative at SEI INVESTMENTS MANAGEMENT CORP

Oaks, PACRD #4289046Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
13 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaIllinoisMassachusettsNew JerseyNew YorkNorth CarolinaPennsylvania
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/17/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 2/6/2003
Series 7
General Securities Representative Examination
Passed 5/11/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

SEI Investments Management Corp Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SEI INVESTMENTS MANAGEMENT CORPCurrent
1/4/2006Oaks, PA
SEI INVESTMENTS MANAGEMENT CORPORATION II
3/22/200412/31/2005Oaks, PA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Duane Mitchell Oakes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Duane Mitchell Oakes - Financial Advisor in Oaks, PA | AdvisorFinder