Olivier M. Khalil
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.
Olivier M Khalil, who also goes by Oliver Mehdi Khalil, Olivier Khalil, Ollie Khalil, was a registered financial professional .
Olivier is a previously registered financial professional and started their career in finance in 1988. Olivier had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2019 - February 24, 2020
BNY MELLON SECURITIES CORPORATION
December 2, 2015 - October 13, 2016
GLOBAL EMERGING CAPITAL GROUP, LLC
April 9, 2013 - December 23, 2013
UBS FINANCIAL SERVICES INC.
April 5, 2013 - December 23, 2013
UBS FINANCIAL SERVICES INC.
December 20, 2012 - April 17, 2013
SPRING MOUNTAIN CAPITAL, LP
April 5, 2012 - May 2, 2012
PRIMESOLUTIONS SECURITIES, INC.
April 5, 2012 - September 17, 2012
CV BROKERAGE, INC
November 5, 2008 - April 20, 2010
JHS CAPITAL ADVISORS, LLC
December 1, 2006 - August 4, 2008
ALPS DISTRIBUTORS, INC.
February 8, 2005 - June 8, 2006
AIM PRIVATE ASSET MANAGEMENT
February 7, 2005 - June 8, 2006
INVESCO DISTRIBUTORS, INC.
July 1, 2003 - October 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 14, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 8, 2001 - March 13, 2002
FAM DISTRIBUTORS, INC.
February 23, 1988 - June 27, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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 8
Date: 6/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
