Bolivar H. Dien
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.
Bolivar Huynh Dien was a registered financial professional .
Bolivar is a previously registered financial professional and started their career in finance in 2010. Bolivar had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2017 - March 22, 2019
COMMERCE BROKERAGE SERVICES, INC.
November 14, 2017 - March 22, 2019
COMMERCE BROKERAGE SERVICES, INC.
January 7, 2016 - July 27, 2017
EMPOWER FINANCIAL SERVICES, INC.
February 26, 2015 - October 22, 2015
CREATIVEONE SECURITIES, LLC
February 20, 2015 - October 22, 2015
CREATIVEONE SECURITIES, LLC
August 1, 2013 - December 2, 2014
SCOTTRADE, INC.
July 18, 2012 - July 19, 2013
NYLIFE SECURITIES LLC
November 14, 2011 - June 13, 2012
WADDELL & REED
March 28, 2011 - June 13, 2012
WADDELL & REED
December 7, 2010 - February 11, 2011
EQUITABLE ADVISORS, 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
Current Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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