Philip L. Holstein
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.
Philip Lester Holstein, who also goes by Phillip Lester Holstein, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
May 17, 2010 - October 13, 2010
PINNACLE INVESTMENTS, LLC
September 17, 2007 - May 14, 2008
PINNACLE INVESTMENTS, LLC
July 12, 2004 - April 11, 2006
SENTINEL FINANCIAL SERVICES COMPANY
January 20, 2004 - April 12, 2006
EQUITY SERVICES, INC.
March 21, 2001 - February 25, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 19, 1998 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 2, 1997 - February 2, 2001
OSAIC FA, INC.
May 20, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 20, 1985 - May 8, 1997
OSAIC FA, INC.
May 20, 1985 - February 2, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 24, 1982 - August 29, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 19, 1982 - March 8, 1983
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
