John A. Oliva
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John August Oliva was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 27, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2002 - July 15, 2015
SABLE CAPITAL LLC
March 22, 2001 - April 19, 2002
MORGAN STANLEY & CO. LLC
January 29, 1999 - April 18, 2002
MORGAN STANLEY DW INC.
May 3, 1995 - February 10, 1999
WACHOVIA SECURITIES, INC.
February 23, 1983 - May 11, 1995
THE ROBINSON-HUMPHREY COMPANY, LLC
August 26, 1982 - February 8, 1983
HERETH, ORR & JONES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SABLE CAPITAL LLC
CRD#: 113818 / SEC#: , 8-53400
Contact information
FINRA licenses (9 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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