Michael A. Oliva
Professional summary
Michael Anthony Oliva JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Michael had worked at 7 firms, which includes WATERFORD FINANCIAL INC., WORLD EQUITY GROUP INC., DONALD & CO. SECURITIES INC., REYNOLDS KENDRICK STRATTON INC., WESTOK SECURITIES INC., H.J. MEYERS & CO. INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - December 16, 2002
WATERFORD FINANCIAL, INC.
March 3, 2000 - February 7, 2001
WORLD EQUITY GROUP, INC.
June 29, 1998 - March 21, 2000
DONALD & CO. SECURITIES INC.
January 11, 1991 - August 8, 1991
REYNOLDS KENDRICK STRATTON, INC.
June 1, 1990 - December 18, 1990
WESTOK SECURITIES, INC.
May 19, 1989 - April 26, 1990
H.J. MEYERS & CO., INC.
May 23, 1985 - June 14, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
WATERFORD FINANCIAL, INC.
CRD#: 33828 / SEC#: , 8-46396
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| 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.
