Stephen J. Oloughlin
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.
Stephen Joseph Oloughlin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
November 8, 2018 - January 20, 2021
LOCORR DISTRIBUTORS, LLC
October 17, 2017 - December 11, 2017
INFINITY FINANCIAL SERVICES
January 27, 2017 - December 11, 2017
INFINITY FINANCIAL SERVICES
October 11, 2011 - January 4, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
April 17, 2009 - June 24, 2011
EATON VANCE MANAGEMENT
December 19, 2006 - June 24, 2011
EATON VANCE DISTRIBUTORS, INC.
December 9, 2004 - December 8, 2006
COHEN & STEERS SECURITIES, LLC
October 27, 2004 - November 9, 2004
AMUNDI ASSET MANAGEMENT US, INC.
October 21, 2002 - November 9, 2004
AMUNDI DISTRIBUTOR US, INC.
April 21, 1995 - October 17, 1995
AMERIPRISE ADVISOR SERVICES, 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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
