Samuel Nichol Oliver

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-11-12

CA RA
APPROVED

Since 2021-11-12

Branch Locations

Novato, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Oliver Financial, Inc.	Petaluma	CA	05/1986	Present
Avantax Investment Services, Inc.	Novato	CA	06/2005	11/2021
Avantax Insurance Services, Inc.	Novato	CA	05/2020	11/2021
Lpl Financial Llc	Novato	CA	11/2021	Present

05/1986 → Present

Oliver Financial, Inc.

Petaluma, CA
06/2005 → 11/2021

Avantax Investment Services, Inc.

Novato, CA
05/2020 → 11/2021

Avantax Insurance Services, Inc.

Novato, CA
11/2021 → Present

Lpl Financial Llc

Novato, CA

Previous Registrations

2009-07-21 → 2021-12-23

Avantax Advisory Services

Novato, CA
2008-01-08 → 2008-09-18

Avantax Advisory Services

Petaluma, CA

Other Businesses

1)11/10/2021 - OLIVER FINANCIAL, INC - Business Entity For Tax/Investment Purposes Only - Inv Rel - At Reported Business Location(s) - Start: 06/2012 2)11/10/2021 - Owner, CPA Business - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 01/1988

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2005-08-26

S63 Uniform Securities Agent State Law Examination

2005-08-26

Designations

View on SEC IAPD