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Brian A. Oliver

Some features on this profile are disabled
CRD#: 5332005
BO

Professional summary

Brian Arthur Oliver was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Brian had worked at 1 firm, which includes AEQUITAS INVESTMENT MANAGEMENT LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Oliver

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 20, 2007 - July 28, 2016

AEQUITAS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 143780
LAKE OSWEGO, OR

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
IAR
Series 65
Date: 8/17/2007
Uniform Investment Adviser Law Examination

Current Firm

AI
AEQUITAS INVESTMENT MANAGEMENT, LLC
AEQUITAS INVESTMENT MANAGEMENT, LLC

CRD#: 143780 / SEC#: 801-68039

PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5300 Meadows Road Suite 300, Lake Oswego, OR 97035
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (5/1/2015)

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

AEQUITAS INVESTMENT MANAGEMENT, LLC

CRD#: 143780

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