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Richard F. Oleary

Some features on this profile are disabled
CRD#: 1096188
RO

Professional summary

Richard Francis Oleary was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Richard had worked at 7 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, FIRST ALLIED SECURITIES INC., FIRST AFFILIATED SECURITIES, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY 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

December 19, 2002 - October 2, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

April 5, 2002 - December 14, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
NEWPORT BEACH, CA
Past

October 29, 1998 - December 14, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 9, 1995 - October 20, 1998

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

January 2, 1991 - December 21, 1994

FIRST AFFILIATED SECURITIES

BD
CRD#: 23737
LA JOLLA, CA
Past

January 16, 1987 - January 4, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 22, 1984 - February 6, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

March 1, 1983 - June 20, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
IAR
Series 65
Date: 2/11/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/8/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/1994
General Securities Principal Examination

Current Firm

SF
STERLING FINANCIAL INVESTMENT GROUP, INC.
AGORA SECURITIES, INC. | STERLING FINANCIAL INVESTMENT GROUP, INC. | STERLING FINANCIAL INVESTMENT GROUP | MICHAEL SCOTT WEEKS

CRD#: 41506 / SEC#: , 8-49503

BD
Terminated by SEC on 08/22/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/30/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.)COMPANY
GARCIA, CHARLES PATRICKCHIEF EXECUTIVE OFFICER2933864

Disclosures

Regulatory Event8
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

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

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