Leonard A. Olson
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.
Leonard Arnold Olson JR was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1970. Leonard had worked at 8 firms and has passed the Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1987 - November 17, 1997
TORREY PINES SECURITIES, INC.
January 17, 1986 - December 9, 1987
LA JOLLA HOLDINGS, INC.
July 6, 1982 - February 4, 1986
LA JOLLA SECURITIES, INC.
November 26, 1979 - June 16, 1982
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
August 19, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 17, 1974 - December 19, 1977
E. F. HUTTON & COMPANY INC
September 29, 1970 - January 5, 1975
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 9/19/1970
Registered Representative ExaminationCurrent Firm
TORREY PINES SECURITIES, INC.
CRD#: 17120 / SEC#: , 8-35004
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
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.
