Oscar K. Anderson
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.
Oscar Kelley Anderson III, who also goes by Oscar Kelley Anderson, Oscar Anderson, was a registered financial professional .
Oscar is a previously registered financial professional and started their career in finance in 1996. Oscar had worked at 5 firms and has passed the Series 63, Series 65, 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
March 30, 2017 - January 5, 2021
CVC FUNDING, LLC
March 12, 2009 - October 26, 2012
RESOURCE SECURITIES LLC
April 29, 2004 - April 13, 2007
WELLS FARGO SECURITIES, LLC
November 3, 1997 - April 28, 2004
CIBC WORLD MARKETS CORP.
July 29, 1996 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
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
CVC FUNDING, LLC
CRD#: 277056 / SEC#: , 8-69650
Contact information
FINRA licenses (52 States and Territories)
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.
