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Brian M. Olton

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CRD#: 1056144
BO

Professional summary

Brian Murray Olton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Brian had worked at 5 firms, which includes WELLS FARGO SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, SUTRO & CO. INCORPORATED, BATEMAN EICHLER HILL RICHARDS INCORPORATED, BIRR WILSON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 9, 1991 - August 23, 1999

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

May 12, 1989 - April 3, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 7, 1986 - May 22, 1989

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

November 18, 1985 - October 10, 1986

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

July 22, 1982 - November 23, 1985

BIRR, WILSON & CO., INC.

BD
CRD#: 93

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/1982
General Securities Representative Examination

Current Firm

WF
WELLS FARGO SECURITIES, LLC
BARRINGTON ASSOCIATES | WELLS FARGO VAN KASPER, LLC | WELLS FARGO SECURITIES, LLC. | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES ADVISORS, LLC. | VAN KASPER & COMPANY | FIRST SECURITY VAN KASPER, INC. | EASTDIL SECURED

CRD#: 7665 / SEC#: , 8-22947

BD
Terminated by SEC on 09/04/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/07/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO PRIVATE CLIENT FUNDING, INC.PARENT
HULLAR, JOHN PAULPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD
SALINS, NATASHA ZALEEMACHIEF COMPLIANCE OFFICER3250279
SLOAN, TIMOTHY JOHNVICE CHAIRMAN OF THE BOARD/DIRECTOR
YATES, EUGENE ALANCHIEF FINANCIAL OFFICER/TREASURER/FINANCIAL AND OPERATIONS PRINCIPAL2851324

Disclosures

Regulatory Event12
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WELLS FARGO SECURITIES, LLC

CRD#: 7665

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