Oliver J. Sterling
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.
Oliver James Sterling III, who also goes by James Sterling, was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 2011. Oliver had worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - June 8, 2021
S F SENTRY SECURITIES, INC.
February 26, 2016 - February 28, 2017
BROOKS, HOUGHTON SECURITIES, INC.
June 18, 2014 - January 26, 2016
BROCK SECURITIES LLC
April 19, 2011 - June 11, 2014
BRADLEY WOODS & CO. LTD.
State Registrations and Notice Filings
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Exams
Current Firm
S F SENTRY SECURITIES, INC.
CRD#: 27432 / SEC#: , 8-43101
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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