Holly E. Hoting
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.
Holly Elizabeth Hoting, CFP®, who also goes by Holly E Hoting, Holly Hoting, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1982. Holly had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1985
Experience
April 28, 2023 - February 4, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2023 - February 4, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2017 - May 4, 2023
SECURITIES AMERICA ADVISORS, INC.
December 1, 2017 - May 4, 2023
SECURITIES AMERICA, INC.
December 15, 2003 - December 5, 2017
INVEST FINANCIAL CORPORATION
December 15, 2003 - December 5, 2017
INVEST FINANCIAL CORPORATION
January 1, 1999 - December 18, 2003
VERAVEST INVESTMENT ADVISORS, INC.
May 6, 1997 - December 15, 2003
VERAVEST INVESTMENTS, INC.
October 30, 1993 - May 6, 1997
CUNA BROKERAGE SERVICES, INC.
January 31, 1985 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
August 6, 1984 - February 6, 1985
EQUITEC SECURITIES COMPANY
April 1, 1982 - August 21, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
April 1, 1982 - August 21, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
