Eric W. Holt
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.
Eric William Holt, who also goes by Eric W Holt, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - June 27, 2016
RH INVESTMENT CORPORATION
December 20, 2005 - October 14, 2009
TRADEWEB DIRECT LLC
December 11, 2002 - February 7, 2005
HENDERSON CAPITAL PARTNERS, LLC
August 8, 2000 - January 7, 2002
SUTRO & CO. INCORPORATED
October 1, 1998 - August 4, 2000
BANC OF AMERICA SECURITIES LLC
October 1, 1993 - October 1, 1998
BANCAMERICA SECURITIES, INC.
August 19, 1993 - October 1, 1993
BA INVESTMENT SERVICES, INC.
October 20, 1983 - September 10, 1984
CHARLES SCHWAB & CO., INC.
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
RH INVESTMENT CORPORATION
CRD#: 13457 / SEC#: , 8-29222
Contact information
Documents
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.
