Marc A. Oliver
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.
Marc A Oliver, who also goes by Marc Antonio Oliver, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1989. Marc had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 5, Series 15, Series 3, Series 7, Series 27, Series 53, Series 14, Series 10, Series 4, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - June 29, 2017
NMS CAPITAL ASSET MANAGEMENT, INC.
February 17, 2016 - June 29, 2017
HB SECURITIES, LLC
May 16, 2013 - January 17, 2024
DAEHAN SECURITIES,INC
January 6, 2012 - April 8, 2015
SH INVESTMENT & SECURITIES
November 28, 2011 - June 18, 2013
KAYAN SECURITIES, INC.
February 7, 2011 - January 3, 2012
HANMI ASSET SECURITIES,INC.
August 4, 2009 - November 9, 2009
SELECT CAPITAL CORPORATION
February 14, 2008 - April 17, 2008
LEHMAN BROTHERS INC.
August 23, 2005 - April 17, 2008
LEHMAN BROTHERS INC.
April 11, 2005 - August 26, 2005
NEONET SECURITIES, INC.
July 12, 2000 - April 2, 2004
BANC OF AMERICA SECURITIES LLC
September 5, 1995 - July 6, 2000
GRUNTAL & CO., L.L.C.
November 8, 1994 - April 13, 1995
CITIGROUP GLOBAL MARKETS INC.
November 3, 1992 - August 12, 1995
UBS FINANCIAL SERVICES INC.
November 13, 1991 - October 2, 1992
GLEACHER & COMPANY SECURITIES, INC.
August 22, 1989 - September 14, 1990
PRUDENTIAL EQUITY GROUP, 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 55
Date: 12/1/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 3/19/1990
Interest Rate Options ExaminationSeries 15
Date: 2/26/1990
Foreign Currency Options ExaminationCurrent Firm
NMS CAPITAL ASSET MANAGEMENT, INC.
CRD#: 149678 / SEC#: 801-70544
Contact information
Red Flags
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