Eric B. 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.
Eric Bernhard Olsen was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1979. Eric had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 1 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
April 11, 1994 - April 10, 1995
LEGG MASON WOOD WALKER, INCORPORATED
October 13, 1989 - February 28, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1981 - September 1, 1989
THOMSON MCKINNON SECURITIES INC.
April 28, 1980 - October 30, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1979 - May 1, 1980
WADDELL & REED
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 15
Date: 1/15/1985
Foreign Currency Options ExaminationSeries 5
Date: 1/15/1985
Interest Rate Options ExaminationSeries 1
Date: 7/23/1979
Registered Representative ExaminationSeries 8
Date: 5/8/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEGG MASON WOOD WALKER, INCORPORATED
CRD#: 6555 / SEC#: , 8-15939
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 45 |
Red Flags
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