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MO

Mark E. Olivier

RIVINGTON SECURITIES
HOUSTON, TX 77024
Some features on this profile are disabled
CRD#: 5352342
MO

Professional summary

Mark Edward Olivier is a registered financial professional currently at RIVINGTON SECURITIES, LLC located in Houston, Texas.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 2 firms and has passed the Series 63, SIE, Series 62 and Series 79 exams.

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) - BD

Click below to view Mark Edward Olivier's CRS (Customer Relationship Summary).

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

Current

July 18, 2012 - Present

RIVINGTON SECURITIES, LLC

Office #1: 800 Town & Country Blvd Suite 500, Houston, TX 77024
BD
CRD#: 120689
HOUSTON, TX
Past

June 21, 2011 - June 29, 2012

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
HOUSTON, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(7/18/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 10/23/2015
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 6/20/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RIVINGTON SECURITIES, LLC
RIVINGTON SECURITIES, LLC

CRD#: 120689 / SEC#: , 8-65329

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
800 Town & Country Blvd Suite 500, Houston, TX 77024
Mailing Address
800 Town & Country Blvd Suite 500, Houston, TX 77024
Phone number
(713) 750-0900
Established
Colorado since 04/04/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RIVINGTON HOLDINGS, LLCSOLE MEMBER
LOGAN, SCOTT ANDERSONCEO/CCO2037451
SCHAPS, MICHAEL ROBERTFINOP/CFO/PFO/POO1892138
WAGNER, CHRISTOPHER ROBERTREGISTERED PRINCIPAL2346421

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

RIVINGTON SECURITIES, LLC

CRD#: 120689Houston, TX 77024

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