Bruce G. Olberding
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.
Bruce Gerald Olberding was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1993. Bruce had worked at 8 firms and has passed the Series 66, Series 63, Series 22TO, Series 7TO, Series 82TO, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 39, Series 24, Series 53 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2018 - March 14, 2022
FAS WEALTH PARTNERS, INC.
August 22, 2018 - March 14, 2022
FAS CORP.
May 29, 2012 - June 27, 2018
SS&C MARKET SERVICES, LLC
January 9, 2003 - April 16, 2012
SUNSET FINANCIAL SERVICES, INC.
September 13, 2000 - April 16, 2012
SUNSET FINANCIAL SERVICES, INC.
February 1, 1995 - September 13, 2000
DWS DISTRIBUTORS, INC.
April 29, 1994 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
May 7, 1993 - July 16, 1993
WADDELL & REED
January 8, 1993 - February 9, 1993
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
FAS WEALTH PARTNERS, INC.
CRD#: 109796 / SEC#: 801-19282
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 22TO
Date: 3/22/2024
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 3/22/2024
General Securities Representative ExaminationSeries 82TO
Date: 3/22/2024
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 3/22/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/22/2024
Operations Professional ExaminationCurrent Firm
FAS WEALTH PARTNERS, INC.
CRD#: 109796 / SEC#: 801-19282
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,110 |
| AUM (Assets Under Management) | $ 3,776,012,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/01/2025 | ||
| 01/31/2024 |
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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