David W. Oleary
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.
David William Oleary was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 9 firms and has passed the SIE, Series 6 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
November 23, 2015 - March 23, 2017
CAPITAL BROKERAGE CORPORATION
January 23, 2015 - June 30, 2015
THE LEADERS GROUP, INC.
September 9, 2010 - February 19, 2013
EQUITABLE DISTRIBUTORS, LLC
August 16, 2010 - February 15, 2013
EQUITABLE ADVISORS, LLC
March 22, 2007 - June 28, 2010
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 21, 2002 - September 8, 2006
MML INVESTORS SERVICES, LLC
June 15, 2001 - September 8, 2006
MML DISTRIBUTORS, LLC
August 27, 1996 - March 8, 2001
VOYA FINANCIAL PARTNERS, LLC
December 22, 1994 - July 15, 1996
LINCOLN FINANCIAL DISTRIBUTORS, 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
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| 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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