Individual Firm
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JUSTIN RICHARD OLEWNIK
CRD#: 4609162
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 SIMSBURY, CT
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3/17/2011
Customer Dispute
Denied
State Registrations
B
Connecticut 6/5/2012
B
New York 6/15/2012
IA
Connecticut 6/5/2012
IA
New York 8/16/2021
B
Florida 12/18/2014
IA
North Carolina 5/18/2018
IA
Florida 12/22/2014
B
North Carolina 5/21/2018
B
Maine 9/6/2019
B
Ohio 4/8/2014
IA
Maine 9/9/2019
IA
Ohio 4/8/2014
B
Maryland 2/10/2022
B
Rhode Island 5/22/2019
IA
Maryland 2/11/2022
IA
Rhode Island 5/24/2019
B
Massachusetts 6/15/2012
B
South Carolina 11/1/2018
IA
Massachusetts 6/19/2012
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South Carolina 11/5/2018
IA
New Hampshire 6/7/2012
B
Vermont 6/15/2012
B
New Hampshire 6/19/2012
IA
Vermont 6/26/2012
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/14/2012 - 06/11/2012 | WINDSOR, CT | |
B | 12/16/2010 - 06/11/2012 | WINDSOR, CT | |
B | 12/01/2008 - 12/31/2010 | WINDSOR, CT | |
B | 08/08/2007 - 07/31/2008 | BALTIMORE, MD | |
B | 07/07/2004 - 07/06/2007 | BOSTON, MA | |
B | 01/27/2003 - 03/12/2003 | EDISON, 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.