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JO

Joseph A. Olkowitz

Some features on this profile are disabled
CRD#: 6211130
JO

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.

Joseph Alexander Olkowitz was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2014. Joseph had worked at 3 firms and has passed the SIE, Series 7 and Series 56 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)

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

April 9, 2018 - January 9, 2020

SEVEN POINTS CAPITAL, LLC

BD
CRD#: 144211
Clark, NJ
Past

March 5, 2018 - April 4, 2018

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

October 5, 2017 - January 4, 2018

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

November 5, 2015 - November 29, 2016

SEVEN POINTS CAPITAL, LLC

BD
CRD#: 144211
MATAWAN, NJ
Past

May 8, 2014 - November 25, 2014

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 56
Date: 5/8/2014
Proprietary Trader Qualification Examination

Current Firm

SP
SEVEN POINTS CAPITAL, LLC
SEVEN POINTS CAPITAL, LLC

CRD#: 144211 / SEC#: , 8-67644

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

Main Address
150 East 52nd Street Suite 3002, New York, NY 10022
Mailing Address
150 East 52nd Street Suite 3002, New York, NY 10022
Phone number
(212) 760-0760
Established
New York since 02/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
KATZ, MICHAEL M.OWNER4351041
MANGIERI, MICHAEL HOWARDPARTNER, CEO, CCO4229177
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event7

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

SEVEN POINTS CAPITAL, LLC

CRD#: 144211

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