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Thomas Michael Oliveira
THOMAS OLIVEIRA, TOM OLIVEIRA
CRD#: 2753899
IA
B
OLIVEIRA WEALTHCRD#: 315326 810 STANDIFORD AVE
SUITE 1
MODESTO, CA 95350
SUITE 1
MODESTO, CA 95350
THE LEADERS GROUP, INC.CRD#: 37157 810 Standiford Avenue, Suite 1
Modesto, CA 95350
Modesto, CA 95350
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6/17/2010
Customer Dispute
Denied
2/3/2009
Customer Dispute
Settled
State Registrations
B
Arizona 10/21/2021
B
Montana 10/21/2021
IA
California 10/20/2021
B
Nevada 10/21/2021
B
California 10/21/2021
B
North Carolina 10/21/2021
B
Colorado 10/21/2021
B
Ohio 10/21/2021
B
Connecticut 10/21/2021
B
Oregon 10/21/2021
B
Florida 10/21/2021
B
South Dakota 1/9/2025
B
Georgia 11/3/2021
B
Texas 10/21/2021
B
Idaho 10/21/2021
IA
Texas 1/23/2022
B
Iowa 10/21/2021
B
Washington 10/21/2021
SRO Registrations
B
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B
Registered with this firm since 10/21/2021
IA
Registered with this firm since 10/20/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/11/2006 - 10/28/2021 | MODESTO, CA | |
B | 12/11/2006 - 10/28/2021 | MODESTO, CA | |
B | 06/21/1996 - 12/14/2006 | MODESTO, CA | |
IA | 02/11/2005 - 09/14/2006 | MODESTO, CA | |
B | 06/21/1996 - 01/01/2002 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.