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OE

Oliver Esslinger

CONSTELLATION
MANVEL, TX 77578
Some features on this profile are disabled
CRD#: 7163608
OE

Professional summary

Oliver Esslinger is a registered financial professional currently at CONSTELLATION located in Manvel, Texas.

Oliver is registered as a RR (Registered Representative) and started their career in finance in 2019. Oliver has worked at 2 firms and has passed the Series 7TO, SIE, Series 27 and Series 24 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) - BD

Click below to view Oliver Esslinger'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 17, 2021 - Present

CONSTELLATION

Office #1: 4930 Olive Province Ln, Manvel, TX 77578
BD
CRD#: 311178
MANVEL, TX
Past

November 4, 2019 - December 20, 2019

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
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
Series 7TO
Date: 11/4/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/29/2021
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CO
CONSTELLATION
CONSTELLATION | CONSTELLATION P2P, LLC

CRD#: 311178 / SEC#: , 8-70608

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

Main Address
4930 Olive Province Ln, Manvel, TX 77578
Mailing Address
4930 Olive Province Ln, Manvel, TX 77578
Phone number
(917) 498-7387
Established
Delaware since 04/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FINOPTSYS, INC.SOLE MEMBER
BHAKTA, DIVYESHCHIEF EXECUTIVE OFFICER4885868
ESSLINGER, OLIVERCHIEF COMPLIANCE OFFICER7163608
RANKEL, WILLIAM EDWINFINOP2074785

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

CONSTELLATION

CRD#: 311178Manvel, TX 77578

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