Paul W. 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.
Paul Wesley Olson, who also goes by Paul W Olson, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2025 - May 13, 2025
HERBERT J. SIMS & CO, INC.
January 2, 2014 - February 12, 2025
SECUREVEST FINANCIAL GROUP
April 16, 2012 - April 30, 2013
BLAYLOCK VAN, LLC
June 21, 2011 - February 22, 2012
LOOP CAPITAL MARKETS LLC
April 19, 2010 - March 25, 2011
CABRERA CAPITAL MARKETS, LLC
October 14, 2002 - March 15, 2010
R. SEELAUS & CO., LLC
November 2, 2001 - October 16, 2002
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
February 9, 1993 - November 14, 2001
J. B. HANAUER & CO.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
