Rebecca D. Violette
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.
Rebecca Denise Violette, who also goes by Rebecca D Banta, Rebecca Denise Banta, Becky Olivo, Rebecca Denise Olivo, Becky VIolette, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1991. Rebecca had worked at 13 firms and has passed the Series 63 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
January 24, 2005 - July 22, 2005
ATLAS SECURITIES, LLC
September 26, 2001 - February 3, 2005
ALLSTATE FINANCIAL SERVICES, LLC
May 23, 2000 - February 22, 2001
TAKE CHARGE FINANCIAL
October 14, 1999 - February 15, 2000
ROBERT W. BAIRD & CO. INCORPORATED
October 14, 1999 - March 1, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 21, 1999 - September 9, 1999
BANCWEST INVESTMENT SERVICES, INC.
October 21, 1998 - January 14, 1999
MORGAN STANLEY DW INC.
May 14, 1998 - November 5, 1998
WOODBURY FINANCIAL SERVICES, INC.
July 8, 1994 - November 27, 1996
MONEY CONCEPTS CAPITAL CORP
June 7, 1993 - August 31, 1994
WS GRIFFITH SECURITIES, INC.
March 15, 1993 - June 7, 1993
VP DISTRIBUTORS LLC
February 25, 1991 - January 12, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 25, 1991 - January 12, 1993
EQUITABLE ADVISORS, LLC
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
ATLAS SECURITIES, LLC
CRD#: 20991 / SEC#: , 8-38579
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDEN WEST FINANCIAL CORPORATION | OWNER | |
| FIRENZE, STEVEN ANTHONY | CHIEF COMPLIANCE OFFICER | 1625122 |
| HUBBERT, MARK WILLIAM | DIRECTOR | 1802805 |
| HUYNH, LAIVU BA | FINANCIAL/OPERATIONS PRINCIPAL | 4658574 |
| IANNONE, LEZLIE ANN | GROUP SENIOR VICE PRESIDENT, SECRETARY | 1965903 |
| KEY, WALLACE LAWRENCE | DIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER | 719944 |
| MACK, MARY TABB | DIRECTOR | 2959378 |
| SADLER, MATTHEW LEE | SENIOR VICE PRESIDENT | 1198720 |
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.
