Jeffrey A. Oliver
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.
Jeffrey Alan Oliver, who also goes by Jeff Oliver, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - June 24, 2014
NATIONAL SECURITIES CORPORATION
March 24, 2010 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
April 18, 2008 - October 27, 2008
BASIC INVESTORS INC.
March 30, 2004 - May 21, 2007
PRIME CAPITAL SERVICES, INC.
February 27, 2003 - April 29, 2004
OSAIC WEALTH, INC.
October 2, 1990 - May 6, 2002
PRIME CAPITAL SERVICES, INC.
August 12, 1988 - August 16, 1990
REICH & CO., INC.
August 4, 1988 - September 2, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 6, 1983 - June 14, 1988
FORESTERS FINANCIAL SERVICES, INC.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
