Robert P. Oleary
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.
Robert Paul Oleary was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 9 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1997 - December 31, 2002
MUTUAL SERVICE CORPORATION
January 3, 1997 - June 27, 1997
ONE ORCHARD EQUITIES, INC.
June 7, 1985 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
February 2, 1982 - August 31, 1987
LPL FINANCIAL LLC
April 23, 1981 - November 26, 1982
JUDITH BRILES & COMPANY
October 14, 1980 - May 23, 1981
JUDY & ROBINSON SECURITIES, INC
January 26, 1978 - February 2, 1983
INDEPENDENT FINANCIAL PLANNERS CORPORATION
August 28, 1974 - March 18, 1978
NORTH AMERICAN MANAGEMENT, INC.
December 18, 1969 - July 21, 1973
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
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
Series 1
Date: 12/11/1969
Registered Representative ExaminationSeries 40
Date: 3/11/1971
Registered Principal ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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