Richard B. 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.
Richard Brent Oliver, who also goes by Dick Oliver, Richard Brent Oliver, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2017 - June 20, 2019
THE LEADERS GROUP, INC.
February 18, 2016 - July 17, 2017
INVESTACORP, INC.
May 24, 2010 - November 9, 2015
KESTRA INVESTMENT SERVICES, LLC
March 3, 2009 - May 12, 2010
THE LEADERS GROUP, INC.
January 26, 2001 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1993 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 1989 - March 19, 1993
CIBC WORLD MARKETS CORP.
January 20, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
May 3, 1985 - December 22, 1987
FOSTER & MARSHALL INC.
November 16, 1984 - May 28, 1985
MONARCH SECURITIES, INC.
October 11, 1984 - April 29, 1985
LEHMAN BROTHERS 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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