John L. Oliva
Professional summary
John L Oliva, who also goes by John Leo Oliva, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John L Oliva's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2012 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 270 Park Ave, New York, NY 10017January 27, 2010 - May 11, 2012
J.P. MORGAN SECURITIES LLC
December 20, 2006 - February 20, 2008
J.P. MORGAN SECURITIES INC.
December 19, 2003 - August 24, 2005
J.P. MORGAN SECURITIES INC.
February 16, 1993 - February 15, 2002
J.P. MORGAN SECURITIES INC.
November 4, 1991 - February 22, 1993
PERSHING LLC
September 13, 1988 - November 4, 1991
MANUFACTURERS HANOVER SECURITIES CORPORATION
December 21, 1983 - October 4, 1988
UBS 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
Series 8
Date: 9/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
