Dean K. Oliver
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.
Dean Kendrick Oliver, who also goes by Dean K Oliver, was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1993. Dean had worked at 4 firms and has passed the Series 65, Series 63, SIE 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 25, 2005 - June 30, 2020
SPC
May 25, 2005 - June 30, 2020
SIGMA FINANCIAL CORPORATION
January 10, 2005 - May 25, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 10, 1997 - May 25, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 20, 1996 - February 13, 1997
SUNAMERICA SECURITIES, INC.
October 25, 1993 - September 19, 1996
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
