Thomas R. Holt
Professional summary
Thomas Richard Holt JR, who also goes by Thomas Richard Holt, is a registered financial advisor currently at LEGACY ADVISORS, LLC located in Plymouth Meeting, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Richard Holt JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2006 - Present
LEGACY ADVISORS, LLC
Office #1: 401 Plymouth Road Suite 150, Plymouth Meeting, PA 19462August 17, 2006 - August 22, 2025
M HOLDINGS SECURITIES, INC.
July 16, 1990 - November 19, 1992
FIRST UNION CAPITAL MARKETS CORP.
October 15, 1984 - August 25, 1986
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/25/2006)
Exams
Current Firm
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,257 |
| AUM (Assets Under Management) | $ 4,182,473,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/19/2024 | ||
| 09/18/2024 | ||
| 03/27/2024 | ||
| 01/19/2023 |
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.
