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Michael N. Olsen

Some features on this profile are disabled
CRD#: 1987902
MO

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.

Michael Neil Olsen was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 3 firms and has passed the Series 63, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 6, 2011 - June 25, 2013

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

November 11, 1993 - November 16, 2009

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
AMERICAN FORK, UT
Past

October 25, 1989 - October 21, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
RR
Series 63
Date: 9/12/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/8/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/24/2008
General Securities Sales Supervisor - General Module Examination

Current Firm

ES
E*TRADE SECURITIES LLC
E*TRADE FROM MORGAN STANLEY | GATEWAY SECURITIES | E*TRADE SECURITIES, INCORPORATED | E*TRADE SECURITIES, INC. | E*TRADE SECURITIES LLC | E*TRADE SECURITIES

CRD#: 29106 / SEC#: , 8-44112

BD
Terminated by SEC on 02/13/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ETCM HOLDINGS, LLCOWNER
ADRIEN, JACQUES CCHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER2996942
FINN, JEDMANAGER5658048
GREANEY, BRIAN JOSEPHCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER3274607
GREGO, JENNIFER ACHIEF COMPLIANCE OFFICER4928947
HENNESSY, MICHAEL SMANAGER1988660
JANOVER, JAMES TMANAGER2818307
TURNER, CHAD EDWARDPRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER6009808

Disclosures

Regulatory Event93
Arbitration139

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.

Company Information

E*TRADE SECURITIES LLC

CRD#: 29106

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