Robert D. Olsen
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.
Robert D Olsen Jr, who also goes by Bob Olsen, Robert Dewayne Olsen Jr, Robert Olsen, Robert Dewayne Olsen, Bob Olsen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 5, Series 7, Series 26, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2020 - March 24, 2021
W&S BROKERAGE SERVICES, INC.
November 10, 2020 - March 24, 2021
W&S BROKERAGE SERVICES, INC.
December 5, 2019 - October 27, 2020
UNITED ADVISORS AMERICA
February 8, 2019 - December 6, 2019
W&S BROKERAGE SERVICES, INC.
April 11, 2017 - December 6, 2019
W&S BROKERAGE SERVICES, INC.
February 1, 2017 - March 2, 2017
THE HUNTINGTON INVESTMENT COMPANY
February 1, 2017 - March 2, 2017
THE HUNTINGTON INVESTMENT COMPANY
May 4, 2015 - February 1, 2017
LPL FINANCIAL LLC
May 4, 2015 - February 1, 2017
LPL FINANCIAL LLC
January 7, 2014 - September 4, 2014
SII INVESTMENTS, INC.
July 17, 2013 - December 12, 2013
ONEAMERICA SECURITIES, INC.
July 16, 2013 - December 12, 2013
ONEAMERICA SECURITIES, INC.
June 23, 2011 - June 28, 2013
EAGLE STRATEGIES LLC
June 13, 2011 - June 28, 2013
NYLIFE SECURITIES LLC
August 26, 2010 - June 2, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
August 26, 2010 - June 2, 2011
ALLSTATE FINANCIAL SERVICES, LLC
January 4, 2010 - August 13, 2010
SIGNATOR INVESTORS, INC.
December 4, 2009 - August 13, 2010
SIGNATOR INVESTORS, INC.
January 8, 2009 - December 8, 2009
EQUITABLE ADVISORS, LLC
December 16, 2008 - December 8, 2009
EQUITABLE ADVISORS, LLC
December 20, 1999 - December 11, 2008
WADDELL & REED
June 25, 1999 - December 11, 2008
WADDELL & REED
April 26, 1995 - May 24, 1999
LONDON PACIFIC SECURITIES, INC.
July 7, 1994 - May 3, 1995
LPL FINANCIAL LLC
May 10, 1989 - June 30, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 1986 - March 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 1983 - May 22, 1986
UBS FINANCIAL SERVICES INC.
March 18, 1980 - May 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 5
Date: 3/19/1982
Interest Rate Options ExaminationSeries 8
Date: 4/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
