Bambi I. Holzer
Professional summary
Bambi Iris Holzer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bambi is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Bambi had worked at 10 firms, which includes NEWPORT COAST SECURITIES INC., SEQUOIA EQUITIES SECURITIES CORPORATION, WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, A. G. EDWARDS & SONS INC., UBS FINANCIAL SERVICES INC., J.P. MORGAN SECURITIES LLC, CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2011 - August 22, 2013
NEWPORT COAST SECURITIES, INC.
March 30, 2011 - August 22, 2013
NEWPORT COAST SECURITIES, INC.
March 9, 2010 - April 13, 2010
SEQUOIA EQUITIES SECURITIES CORPORATION
June 27, 2007 - April 26, 2011
WEDBUSH SECURITIES INC.
June 22, 2007 - April 26, 2011
WEDBUSH SECURITIES INC.
May 10, 2004 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
October 23, 2003 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
September 21, 2001 - October 29, 2003
A. G. EDWARDS & SONS, INC.
September 14, 2001 - October 29, 2003
A. G. EDWARDS & SONS, INC.
April 21, 1993 - October 9, 2001
UBS FINANCIAL SERVICES INC.
October 23, 1990 - April 29, 1993
J.P. MORGAN SECURITIES LLC
July 21, 1989 - November 16, 1990
CIBC WORLD MARKETS CORP.
April 11, 1988 - August 21, 1989
LEHMAN BROTHERS INC.
April 20, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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