OS
Olivia T. Surratt
GLOBAL BROKERAGE SERVICES
BALTIMORE, MD
Some features on this profile are disabled
CRD#: 1347106
OS
Professional summary
Olivia Theresa Surratt is a registered financial professional currently at GLOBAL BROKERAGE SERVICES, INC. located in Baltimore, Maryland.
Olivia is registered as a RR (Registered Representative) and started their career in finance in 1986. Olivia has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Olivia Theresa Surratt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 1999 - Present
GLOBAL BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37505
BALTIMORE, MD
Past
October 19, 1998 - January 8, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
June 12, 1995 - October 16, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 19, 1994 - June 15, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 19, 1992 - July 21, 1994
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 13, 1988 - May 17, 1989
POPULAR SECURITIES, LLC
BD
CRD#: 8096
Past
September 24, 1986 - August 22, 1989
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GB
GLOBAL BROKERAGE SERVICES, INC.
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
RIA
Registered Investment Advisory firm - SEC (10/10/2024 Approved)District of Columbia
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Florida
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Georgia
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Illinois
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/18/2024 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/1/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/5/2024 Terminated)Texas
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Utah
Registered Investment Advisory firm - SEC (12/10/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/2/2024 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(12/21/2023)
RR
Illinois(3/28/2011)
RR
Maryland(2/18/1999)
RR
New Jersey(1/8/2003)
RR
New York(5/13/1999)
RR
North Carolina(9/28/2005)
RR
Pennsylvania(2/18/1999)
RR
Texas(10/25/2023)
RR
Virginia(1/25/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GB
GLOBAL BROKERAGE SERVICES, INC.
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
RIA
Registered Investment Advisory firm - SEC (10/10/2024 Approved)District of Columbia
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Florida
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Georgia
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Illinois
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Maryland
Registered Investment Advisory firm - SEC (11/18/2024 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/1/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/5/2024 Terminated)Texas
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)Utah
Registered Investment Advisory firm - SEC (12/10/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/2/2024 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/31/2024 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
11350 Mccormick Rd. Epiii, Suite 1204, Hunt Valley, MD 21031
Mailing Address
11350 Mccormick Rd. Ep Iii Suite 1204, Hunt Valley, MD 21031
Phone number
(410) 785-4990
Established
Maryland since 10/07/1994
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
5
SEC notice filing (11 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 562 |
| AUM (Assets Under Management) | $ 137,300,000 |
Disclosures
| Regulatory Event | 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.
