David D. Olson
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.
David Douglas Olson, who also goes by David D Olson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2020 - February 22, 2022
WIND RIVER CAPITAL LLC
October 1, 2015 - January 15, 2019
PIPER SANDLER & CO.
September 15, 2010 - September 29, 2015
RIVER BRANCH CAPITAL LLC
March 4, 2004 - April 25, 2005
GUGGENHEIM SECURITIES, LLC
January 15, 2003 - January 21, 2004
GLEACHER PARTNERS LLC
November 22, 1994 - July 3, 2002
PERSHING 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WIND RIVER CAPITAL LLC
CRD#: 306597 / SEC#: , 8-70456
Contact information
Documents
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.
