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Robert K. Holman

Some features on this profile are disabled
CRD#: 1121659
RH

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.

Robert Kendall Holman was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 12 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 15, 2024 - September 17, 2024

VISTIA CAPITAL, LLC

BD
CRD#: 311342
CASTLE ROCK, CO
Past

May 3, 2021 - April 2, 2024

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

July 8, 2019 - February 24, 2021

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

May 6, 2016 - August 31, 2017

CARTER, TERRY & COMPANY, INC.

BD
CRD#: 16365
BIRMINGHAM, AL
Past

August 29, 2012 - June 30, 2014

CREWS & ASSOCIATES, INC.

BD
CRD#: 8052
BIRMINGHAM, AL
Past

February 14, 2006 - September 21, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

October 29, 1999 - March 2, 2006

SYNOVUS SECURITIES, INC.

RIA
CRD#: 14023
BIRMINHAM, AL
Past

October 26, 1999 - March 2, 2006

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
BIRMINGHAM, AL
Past

May 28, 1991 - November 8, 1999

SOUTHTRUST SECURITIES, LLC

BD
CRD#: 17922
BIRMINGHAM, AL
Past

November 28, 1990 - May 17, 1991

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

April 23, 1987 - February 12, 1988

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
Past

January 9, 1986 - August 10, 1995

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

June 27, 1983 - December 24, 1985

THORNTON FARISH INC.

BD
CRD#: 830

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/15/2016
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 6/18/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/25/1993
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/1992
General Securities Principal Examination

Current Firm

VC
VISTIA CAPITAL, LLC
VISTIA CAPITAL, LLC

CRD#: 311342 / SEC#: , 8-70643

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Mailing Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Phone number
(720) 738-1742
Established
Delaware since 07/13/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GM417 HOLDINGS, INC.MEMBER
HAYES, SUSAN ANNFINOP/PFO/POO/CFO2856326
MOSES, GARY LEECEO/DESIGNATED PRINCIPAL7074013
ROBERTS, DANIEL ANTHONYCCO2208120
RODRIGUEZ DE ALMEIDA, PABLO ULISESREGISTERED PRINCIPAL7155564

Disclosures

Regulatory Event1

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.

Company Information

VISTIA CAPITAL, LLC

CRD#: 311342

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