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Augustine Ogheneochuko Olobia

CRD# 2999141·Registered 1998 - 2013
Barred: Augustine Ogheneochuko Olobia was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Augustine Ogheneochuko Olobia, who also goes by Augustine Olobia, was a registered financial advisor. Augustine was a previously registered financial advisor and started their career in finance 1998 - 2013. Augustine had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Augustine Olobia

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Seattle, WA
March 29, 2011 - October 9, 2013
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Seattle, WA
October 13, 1999 - October 9, 2013
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
December 17, 1998 - January 14, 2000
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
February 19, 1998 - November 12, 1998

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1998About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2000

Series 7 — General Securities Representative Examination

Passed Feb 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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