Lauren A. Oleary
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.
Lauren Anne Oleary, who also goes by Lauren Ann Oleary, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1987. Lauren had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6 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
May 19, 2015 - November 13, 2015
WNJ CAPITAL, INC.
April 6, 2011 - September 7, 2012
COWEN SECURITIES LLC
June 16, 2003 - April 5, 2011
CANTOR FITZGERALD & CO.
August 24, 2001 - June 13, 2003
KEVIN DANN & PARTNERS, LLC
October 3, 2000 - August 31, 2001
H.C.WAINWRIGHT & CO., LLC
March 6, 2000 - October 12, 2000
CIBC WORLD MARKETS CORP.
September 17, 1998 - March 14, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
July 13, 1993 - August 6, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 12, 1990 - November 19, 1990
HOPPER SOLIDAY & CO., INC.
April 13, 1989 - April 3, 1991
W.H. NEWBOLD'S SON & CO., INC.
October 10, 1988 - April 14, 1989
HOPPER SOLIDAY & CO., INC.
August 17, 1987 - October 23, 1987
DELAWARE DISTRIBUTORS, L.P.
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 55
Date: 1/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
WNJ CAPITAL, INC.
CRD#: 167903 / SEC#: , 8-69282
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.
