OT
Oak Tree Securities, Inc.
State-registered
Broker-Dealer (Dually Registered) · Boutique (under $100M)
CRD 18126
· SEC file 801-39201
· Livermore, CA
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ADV data as of Feb 13, 2024
- Regulatory AUM
- $3.7M
- Discretionary
- $0
- Clients
- 5
- Avg AUM / client
- $738K
- Accounts
- 5
- Employees
- 4
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $3.7M | 100.0% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel Martinez Quesada | Registered representative | Jan 2009 (18y) | ||
| David Gregory Godinez | Registered representative | Jan 2009 (18y) | ||
| Donald Ray Clephane | Registered representative | CFP | Feb 2009 (17y) | |
| Lance Daniel Quesada | Registered representative | Mar 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/13/2024 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 13, 2024.
View current Form ADV (SEC/IAPD) ↗