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TODD OLIVER AU
CRD#: 4271546
IA
B
MORGAN STANLEYCRD#: 149777 3562 Round Barn Circle
1St Floor
Santa Rosa, CA 95403
1St Floor
Santa Rosa, CA 95403
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
Michigan 8/5/2020
B
California 6/1/2009
B
Montana 6/1/2009
IA
California 6/1/2009
B
Nevada 6/1/2009
B
Colorado 4/13/2022
B
New Hampshire 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 8/29/2017
B
North Carolina 6/27/2016
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Idaho 6/24/2016
B
Texas 6/1/2009
B
Illinois 6/24/2016
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Texas 2/24/2020
B
Kentucky 7/22/2020
B
Utah 6/24/2016
B
Maine 6/9/2021
B
Virginia 1/10/2013
B
Massachusetts 10/4/2018
B
Washington 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/25/2007 - 06/01/2009 | SANTA ROSA, CA | |
B | 04/20/2007 - 06/01/2009 | SANTA ROSA, CA | |
IA | 07/18/2001 - 04/24/2007 | SANTA ROSA, CA | |
B | 06/13/2001 - 04/24/2007 | SANTA ROSA, CA | |
B | 11/29/2000 - 06/04/2001 | PURCHASE, NY | |
B | 10/10/2000 - 11/02/2000 | NEWARK, NJ |
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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.