James A. Olivo
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.
James Anthony Olivo, who also goes by James Olivo, Tony Olivo, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1998. James had worked at 7 firms and has passed the Series 65, Series 63 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
April 4, 2011 - June 11, 2012
TRANSAMERICA INVESTORS SECURITIES, LLC
January 21, 2010 - March 28, 2011
M&T SECURITIES, INC.
November 21, 2007 - January 15, 2010
TRANSAMERICA INVESTORS SECURITIES, LLC
February 13, 2004 - November 1, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 26, 2002 - February 4, 2004
LORD, ABBETT & CO. LLC
August 20, 2001 - February 4, 2004
LORD ABBETT DISTRIBUTOR LLC
May 5, 2000 - August 24, 2001
A. G. EDWARDS & SONS, INC.
August 31, 1999 - June 2, 2000
EDWARD JONES
April 15, 1998 - September 2, 1999
A. G. EDWARDS & SONS, INC.
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
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
