Jay R. Olson

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CRD#: 1670937

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.

Jay Raymond Olson III was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 1987. Jay had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 4, 2012 - October 31, 2014

TOBIN & COMPANY SECURITIES LLC

CRD#: 137918

CHARLOTTE, NC

Past

May 10, 2010 - May 17, 2010

BRIDGE CAPITAL ASSOCIATES, INC.

CRD#: 143475

NORCROSS, GA

Past

November 6, 2008 - June 24, 2009

CROSS POINT CAPITAL LLC

CRD#: 136223

CHARLOTTE, NC

Past

September 9, 2005 - July 3, 2008

FERRIS, BAKER WATTS, LLC

CRD#: 285

CHARLOTTE, NC

Past

June 21, 2004 - September 9, 2005

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

January 22, 2003 - June 17, 2004

GARDNYR MICHAEL CAPITAL, INC.

CRD#: 30520

MOBILE, AL

Past

August 21, 2000 - August 22, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

August 14, 2000 - October 5, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 8, 1999 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

October 5, 1994 - December 15, 1999

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

September 2, 1993 - October 17, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 19, 1990 - July 7, 1993

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

June 24, 1987 - October 22, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/18/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/9/1994

Municipal Securities Principal Examination

Current Firm

TOBIN & COMPANY SECURITIES LLC

TOBIN & COMPANY SECURITIES LLC | TOBIN SOLITARIO SECURITIES LLC | TOBIN ADVISORS LLC | TOBIN ADVISORS II LLC

CRD#: 137918 / SEC#: , 8-67134

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

101 South Tryon Street Suite 2700, Charlotte, NC 28280

Mailing Address

P.o. Box 30486, Charlotte, NC 28230

Phone number

(704) 334-2772

Established

North Carolina since 05/12/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOBIN & COMPANY INVESTMENT BANKING GROUP LLC	PARENT COMPANY
TOBIN, JUSTINE EIDT	CHIEF COMPLIANCE OFFICER	1641345

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.

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Advisor Monitoring

Firm Stability Insights

Jay R. Olson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRIDGE CAPITAL ASSOCIATES, INC.

CROSS POINT CAPITAL LLC

FERRIS, BAKER WATTS, LLC

STERNE, AGEE & LEACH, INC.

GARDNYR MICHAEL CAPITAL, INC.

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

WACHOVIA SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

DB ALEX. BROWN LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/1988

SIE

Date: 10/31/2014

Series 7

Date: 6/20/1987

Series 53

Date: 11/9/1994

Current Firm

TOBIN & COMPANY SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TOBIN & COMPANY SECURITIES LLC

TRUST BUT VERIFY

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