Spencer Olsen
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.
Spencer Olsen was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1969. Spencer had worked at 10 firms and has passed the Series 55, Series 7, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2000 - April 3, 2002
KNIGHT CAPITAL AMERICAS, L.P.
April 1, 1991 - March 6, 1998
UBS CAPITAL MARKETS L.P.
May 24, 1988 - October 17, 1990
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 13, 1987 - May 24, 1988
TROSTER SINGER CORPORATION
February 2, 1987 - March 14, 1987
JW GENESIS CLEARING CORP.
January 8, 1986 - December 24, 1986
HUDSON SECURITIES,INC.
October 5, 1983 - August 20, 1986
SPENCER OLSEN SECURITIES CORPORATION
September 28, 1978 - September 6, 1983
TROSTER SINGER CORPORATION
September 27, 1976 - March 16, 1979
STEVENS, ROTHCHILD & CO., INC.
August 24, 1976 - September 25, 1976
CROWN FINANCIAL GROUP, INC.
October 29, 1975 - October 23, 1976
HERZOG, HEINE, GEDULD, LLC
February 7, 1974 - November 4, 1974
UBS CAPITAL MARKETS L.P.
December 4, 1969 - March 14, 1974
HERZOG, HEINE, GEDULD, LLC
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 55
Date: 7/5/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 11/1/1968
Registered Representative ExaminationSeries 00
Date: 2/14/1972
General Securities Principal ExaminationCurrent Firm
KNIGHT CAPITAL AMERICAS, L.P.
CRD#: 38599 / SEC#: , 8-48311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KNIGHT CAPITAL HOLDINGS LLC | LIMITED PARTNER | |
| CORRAO, MICHAEL TIMOTHY | CO-CCO | 1841775 |
| DONOHUE, KEVIN M | CO-CCO | 2767061 |
| DUNHAM, TIMOTHY PHILIP | FINANCIAL OPERATIONS PRINCIPAL | 1016294 |
| KNIGHT SECURITIES GENERAL LLC | LLC- GENERAL PARTNER | |
| LYONS, ROBERT KEANE | SENIOR MANAGING DIRECTOR | 1760001 |
| MAZZELLA, JOSEPH CARMINE JR | CEO | 1969966 |
| SADOFF, STEVEN JAY | EXECUTIVE VICE PRESIDENT | 4350038 |
| SOHOS, GEORGE | SENIOR MANAGING DIRECTOR | 4198973 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 2 |
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.
