Grant A. Olson
UBS SECURITIES
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 5755628
Grant Alan OlsonUBS SECURITIES
Professional summary
Grant Alan Olson, who also goes by Grant A Olson, is a registered financial professional currently at UBS SECURITIES LLC located in New York, New York.
Grant is registered as a RR (Registered Representative) and started their career in finance in 2011. Grant has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 7 exams.
Services Offered
Grant's many specialties can be summarized as helping clients achieve their financial planning goals (such as retirement) by using R.O.I.'s comprehensive financial planning
active wealth management
and active retirement planning services.
Comprehensive Financial Planning - Creating a "living" specialized plan for a specific client that addresses the following goals and needs: retirement
insurance
estate planning
asset protection
disability
long term care needs
kids/grandkids' goals
budgeting
etc. The Comprehensive Financial Plan is reviewed with clients periodically and changed as needed due to living in an ever changing world.
Active Wealth Management - This service is provided by R.O.I. to help clients reach their target return as dictated by their comprehensive financial plan
and/or risk tolerance. This service is provided to clients on an active basis (not a buy and hold strategy) according to a client's strategy to either participate in up markets/control participation in down markets
or win by not losing.
Active Retirement Planning - This service and planning is provided for clients who have reached retirement or are in a stage of life when assets are being distributed. This strategy is tailored for individual clients to meet their specific needs. This planning is done in order to help clients reduce the risk of making distributions during down markets and still have assets working for them
growing
in order to beat the affects of taxes and inflation.
R.O.I.'s specialities help clients meet their finanical goals most efficiently and effectively.
Specializations
College/Education Planning
Estate & Generational Planning Issues
Investment Advice with Ongoing Management
Middle Income Client Needs
Retirement Planning & Distribution Rules
Biography
At an early age Grant started working with R.O.I. , and targeted his education and work experience for a career as a fee only financial planner, investment advisor, and principal with R.O.I. For more information about Grant, Ben and Ron Olson, see R.O.I.'s website at www.roionweb.com.
Aliases
Grant A Olson
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.
CRS (Client Relationship Summary) - BD
Click below to view Grant Alan Olson'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®
NoneExperience
Current
July 24, 2019 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010BD
CRD#: 7654
NEW YORK, NY
Past
May 29, 2018 - July 18, 2019
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
MINNEAPOLIS, MN
Past
October 20, 2015 - June 13, 2017
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
MINNEAPOLIS, MN
Past
October 7, 2014 - October 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW HOPE, MN
Past
October 7, 2014 - October 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW HOPE, MN
Past
May 9, 2012 - October 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYZATA, MN
Past
December 14, 2011 - October 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYZATA, MN
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
Tennessee(7/24/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
SRO Registrations
RR
Texas Stock Exchange LLC
Current Firm
US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
CRD#: 7654 / SEC#: 801-67178, 8-22651
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Loading...
Contact information
Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
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.
