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David L. Olson

Some features on this profile are disabled
CRD#: 4478371
DO

Professional summary

David Lynn Olson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, David had worked at 2 firms, which includes WORLD GROUP SECURITIES INC., WMA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 1, 2007 - September 7, 2007

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
WESTLAKE VILLAGE, CA
Past

April 13, 2002 - July 31, 2007

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
WESTLAKE VILLAGE, CA
Past

January 23, 2002 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/28/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WG
WORLD GROUP SECURITIES, INC.
WORLD GROUP SECURITIES, INC.

CRD#: 114473 / SEC#: , 8-53428

BD
Terminated by SEC on 04/15/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/06/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AEGON ASSET MANAGEMENT SERVICES, INC.SHAREHOLDER
BOUDOURIS, JAMES PETERMUNICIPAL SECURITIES PRINCIPAL2050302
CARPENTER, TODD ANDREWCHIEF SUPERVISORY OFFICER3125437
DAVIES, SUSAN E.DIRECTOR4718249
DODSON, PATTY JEANASSISTANT VICE PRESIDENT1925182
JOSEPH, JOHN WARRENCHIEF MARKETING OFFICER4494872
LINDER, JACK DARRELLDIRECTOR1015860
MILLER, SETH DAVIDPRESIDENT5628646
MINECK, PAUL D.DIRECTOR4528075
MOATE, NANCY ANNVICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER2422381
MURSHEDI, AEYSHA KVICE PRESIDENT & CHIEF OPERATIONS OFFICER2530869
TRIVERS, DAN SHANEVICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER1948553
VERMILLION, DERRICK WADEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER3213279

Disclosures

Regulatory Event10

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.

Company Information

WORLD GROUP SECURITIES, INC.

CRD#: 114473

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