Thomas H. Oliver
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.
Thomas Henry Oliver, who also goes by Tom Oliver, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2002 - February 7, 2006
PACIFIC SELECT DISTRIBUTORS, LLC
April 26, 1995 - December 1, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 18, 1993 - August 29, 1995
FIRST AFFILIATED SECURITIES
May 19, 1992 - October 29, 1993
SUNAMERICA SECURITIES, INC.
March 22, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 20, 1985 - February 4, 1988
LPL FINANCIAL LLC
June 21, 1979 - May 30, 1985
EDWARD JONES
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
Current Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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