Louis M. Olerio
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.
Louis Michael Olerio JR was a registered financial advisor .
Louis is a previously registered financial advisor and started their career in finance in 1999. Louis had worked at 3 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
June 8, 2005 - December 31, 2005
OLERIO ASSET MANAGEMENT, LLC
March 2, 2000 - March 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2000 - March 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 1999 - February 9, 2000
MORGAN STANLEY DW 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
No current employment
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.
