Christopher D. Olson
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.
Christopher David Olson, who also goes by Chris David Olson, Oly Olson, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2009 - July 8, 2015
UNION CAPITAL COMPANY
May 15, 2009 - July 8, 2015
UNION CAPITAL COMPANY
August 3, 2006 - May 22, 2009
WEDBUSH SECURITIES INC.
November 24, 2003 - May 22, 2009
WEDBUSH SECURITIES INC.
September 20, 2002 - January 2, 2004
TORREY PINES SECURITIES, INC.
March 8, 2001 - January 2, 2004
TORREY PINES SECURITIES, INC.
January 9, 1998 - March 8, 2001
GUNNALLEN FINANCIAL, INC
July 14, 1997 - January 9, 1998
TRADEPORTAL SECURITIES, INC.
March 4, 1996 - April 23, 1996
NATIXIS SECURITIES AMERICAS LLC
June 20, 1994 - February 26, 1996
CREDIT SUISSE SECURITIES (USA) LLC
January 28, 1993 - June 21, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1992 - February 4, 1993
RODMAN & RENSHAW INC.
May 13, 1992 - January 12, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 13, 1992 - January 12, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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
Current Firm
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
