Joseph F. Ollivier
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.
Joseph Foch Ollivier JR, who also goes by Joe Ollivier, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 7 firms and has passed the Series 63, Series 3, Series 000, Series 1, Series 53, Series 4, F04 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
September 6, 1994 - December 2, 1994
FIRST WESTERN ADVISORS
April 27, 1988 - September 12, 1994
FIRST CAPITAL SECURITIES
November 10, 1983 - May 23, 1988
LEHMAN BROTHERS INC.
April 5, 1979 - November 3, 1983
FOSTER & MARSHALL INC.
May 5, 1978 - March 28, 1979
DAIN RAUSCHER INCORPORATED
May 8, 1973 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
January 10, 1972 - June 1, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 000
Date: 1/5/1972
General Securities Principal ExaminationSeries 1
Date: 1/5/1972
Registered Representative ExaminationF04
Date: 10/7/1978
Financial Principal ExaminationSeries 40
Date: 10/7/1978
Registered Principal ExaminationCurrent Firm
FIRST WESTERN ADVISORS
CRD#: 13623 / SEC#: 801-58158, 8-28729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL SANDS, LLC | MEMBER | |
| TERAN, GARY WAYNE | PRESIDENT / DIRECTOR / CEO | 1076442 |
| ANDERSEN, DEE ALLEN | DIRECTOR | 4360129 |
| BURTON, KIRK WATTIS | DIRECTOR | 6136394 |
| GUNDERSEN, BRIAN EDDINGTON | DIRECTOR | 6136404 |
| HOER, MICHAEL A. | DIRECTOR | 5902282 |
| LUNNEN, ROBERT C | DIRECTOR | 3168314 |
| PUGSLEY, MARK W. | DIRECTOR | 5902284 |
| SMART, DAVID HOLT | DIRECTOR | 6155332 |
| TERAN, JEFFREY WAYNE | FINOP | 4706241 |
| WADE, WILLIAM DAVID | DIRECTOR | 6136276 |
| WALLACE, EMILY MARVA | SECRETARY / TREASURER / DIRECTOR | 2907137 |
| WALLACE, EMILY MARVA | CHIEF COMPLIANCE OFFICER | 2907137 |
| WEISENBURGER, GUY DAVID | DIRECTOR | 6136400 |
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.
