Nicholas A. Olive
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.
Nicholas Anthony Olive, who also goes by Nick Olive, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1984. Nicholas had worked at 3 firms and has passed the Series 63 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
July 12, 1993 - July 12, 1996
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 3, 1989 - July 1, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 26, 1984 - February 9, 1989
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
Current Firm
JOHN G. KINNARD AND COMPANY, INCORPORATED
CRD#: 466 / SEC#: , 8-11061
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 7 |
| Bond | 6 |
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.
