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LO

Lee M. Olswanger

MEMPHIS CAPITAL
Memphis, TN 38119
Some features on this profile are disabled
CRD#: 6451737
LO

Professional summary

Lee Michael Olswanger, who also goes by Lee Michael Olswanger, Lee Olswanger, is a registered financial professional currently at MEMPHIS CAPITAL located in Memphis, Tennessee.

Lee is registered as a RR (Registered Representative) and started their career in finance in 2017. Lee has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Michael Olswanger | Lee Olswanger

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 Lee Michael Olswanger'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

September 23, 2020 - Present

MEMPHIS CAPITAL

Office #1: 6410 Poplar Avenue Suite 500, Memphis, TN 38119
BD
CRD#: 8564
Memphis, TN
Past

June 15, 2017 - March 3, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MEMPHIS, TN
Past

April 20, 2017 - March 3, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MEMPHIS, TN

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
(9/23/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MEMPHIS CAPITAL
HANOVER SECURITIES | STONEWALL INVESTMENTS, INC. | STONEWALL INVESTMENTS TENNESSEE INC. | MEMPHIS CAPITAL | INVESTMENT SPECIALISTS COMPANY | INVESTMENT SPECIALISTS CO., INC.

CRD#: 8564 / SEC#: , 8-34927

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

Main Address
6410 Poplar Avenue Suite 500, Memphis, TN 38119
Mailing Address
6410 Poplar Ave., Suite 320 Suite 320, Memphis, TN 38119
Phone number
(901) 261-5950
Established
Indiana since 10/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HANOVER SECURITIES, LLCOWNER
MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEEOWNER
GOODWIN, CASEY DOUGLASPRESIDENT/CEO6808410
HANOVER, JOHN DAVIDGENERAL COUNSEL6011724
NAKAE, MARY LOUISEOWNER/TRUSTEE1923430
PARATORE, JACK ANTHONYCCO356248
RODRIGUEZ, AARON NETZAHUALCOYOTLFINOP & CFO5421965

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

MEMPHIS CAPITAL

CRD#: 8564Memphis, TN 38119

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