Alfred J. 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.
Alfred John Oliva SR, who also goes by Alfred John Oliva, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1983. Alfred had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2013 - November 7, 2014
MURIEL SIEBERT & CO., LLC
January 4, 2012 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
August 26, 2009 - January 12, 2012
MARQUIS HOLDINGS, INC.
June 10, 2009 - September 8, 2009
KABRIK TRADING LLC
November 28, 2006 - August 27, 2009
HARMONY EXECUTIONS INC.
March 29, 2006 - November 27, 2006
FREY, RICHARD CHRISTOPHER
April 20, 2005 - March 29, 2006
SDS SECURITIES CORP.
May 26, 2000 - November 29, 2005
PRIME EXECUTIONS, INC.
December 13, 1999 - February 18, 2000
TIJA MANAGEMENT, INC.
March 19, 1984 - June 19, 1984
WAGNER, STOTT & CO.
October 19, 1983 - December 30, 1983
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/14/2014
Limited Representative-Equity Trader ExamSeries 25
Date: 1/17/2002
NYSE Trading Assistant ExaminationCurrent Firm
MURIEL SIEBERT & CO., LLC
CRD#: 5376 / SEC#: , 8-14900
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIEBERT FINANCIAL CORPORATION | PARENT COMPANY | |
| BENDER, KYLE ROBERT | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ("ROSFP") | 2287329 |
| BONO, RONALD ROSS | CUSTOMER RELATIONSHIP OFFFICER | 1247269 |
| COLOMBINO, MICHAEL JONATHAN | CHIEF FINANCIAL OFFICER/BOARD MEMBER | 4871852 |
| GEBBIA, GLORIA ESTELLE | BOARD MEMBER | 2126152 |
| GEBBIA, JOHN MICHAEL | CO-CEO/BOARD MEMBER | 1866455 |
| GEBBIA, RICHARD SAL | CO-CEO/BOARD MEMBER | 2348552 |
| REICH, ANDREW HENRY | BOARD MEMBER | 1966909 |
| SCHEBECE, GREGORY CHARLES | CHIEF INFORMATION OFFICER | 1498632 |
| SCUTERI, FREDRICK PAUL | CHIEF OPERATING OFFICER | 2623915 |
| SOSNOWSKI, PETER JAMES | NATIONAL SALES MANAGER | 1540143 |
| VILLELLA, BARBARA DUNNE | CCO/AMLCO | 1719722 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
