Mark T. 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.
Mark Thomas Olson, who also goes by Mark Thomas Olson, Mark Olson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 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
December 10, 2018 - April 24, 2019
EDWARD JONES
December 10, 2018 - April 24, 2019
EDWARD JONES
November 3, 2017 - January 9, 2018
J.P. MORGAN SECURITIES LLC
November 3, 2017 - January 9, 2018
J.P. MORGAN SECURITIES LLC
February 28, 2014 - June 10, 2016
CALAMOS ADVISORS LLC
February 28, 2014 - June 10, 2016
CALAMOS FINANCIAL SERVICES LLC
August 26, 2013 - January 8, 2014
WTS PROPRIETARY TRADING GROUP LLC
September 7, 2011 - August 7, 2013
AVIANCE CAPITAL PARTNERS LLC
May 26, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 26, 2005 - May 11, 2009
MSI FINANCIAL SERVICES, INC.
May 12, 2004 - November 22, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 16, 2003 - April 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2001 - July 16, 2003
FAM DISTRIBUTORS, INC.
March 21, 2000 - September 22, 2000
AFD, INC.
May 9, 1996 - December 1, 1999
DWS DISTRIBUTORS, INC.
February 23, 1995 - April 4, 1995
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
