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Augustine O. Olobia

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CRD#: 2999141
AO

Professional summary

Augustine Ogheneochuko Olobia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Augustine is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Augustine had worked at 4 firms, which includes CAPITAL ONE ADVISORS LLC, CAPITAL ONE INVESTING LLC, CHARLES SCHWAB & CO. INC., UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Augustine Olobia

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2011 - October 9, 2013

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
SEATTLE, WA
Past

October 13, 1999 - October 9, 2013

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
SEATTLE, WA
Past

December 17, 1998 - January 14, 2000

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

February 19, 1998 - November 12, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/1999
General Securities Principal Examination

Current Firm

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

CRD#: 136865 / SEC#: 801-64662

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Contact information

Main Address
1750 Tysons Blvd 6th Floor, Mclean, VA 22102
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

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.

Company Information

CAPITAL ONE ADVISORS, LLC

CRD#: 136865

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