Oliver Huff
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.
Oliver Huff was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 1992. Oliver had worked at 2 firms and has passed the Series 63, Series 7, Series 53, Series 28 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
October 26, 1998 - December 31, 1999
SECO WEST LIMITED
July 23, 1992 - April 27, 1995
UNITED DANIELS SECURITIES, INC.
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 28
Date: 8/9/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SECO WEST LIMITED
CRD#: 7637 / SEC#: , 8-22770
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECOR, WILLIAM ERNEST | PRESIDENT,TREASURER AND SOLE DIRECTOR | 417773 |
| BONVISSUTO, DIANE PATRICIA | VICE PRESIDENT | |
| GOLDNER, BRADFORD STEPHEN | VICE PRESIDENT - INSURANCE |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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