Stephen D. Holden
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.
Stephen Dellolio Holden, who also goes by Stephen Dellolio, Stephen D Holden, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 6 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2015 - October 4, 2016
DRU STOCK, INC.
July 6, 2015 - November 2, 2015
GLOBAL DIRECT EQUITIES, LLC
July 27, 2012 - July 9, 2015
DME SECURITIES, LLC
October 1, 2002 - August 28, 2012
MARQUIS HOLDINGS, INC.
May 3, 1993 - January 21, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 15, 1988 - September 7, 1988
H. G. WELLINGTON & 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
Series 25
Date: 7/23/2015
NYSE Trading Assistant ExaminationCurrent Firm
DRU STOCK, INC.
CRD#: 33104 / SEC#: , 8-25716
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IOZZI, MICHAEL ALBERT | DIRECTOR, CHAIRMAN OF THE BOARD, PRESIDENT, CEO, TREASURER, SECRETARY, CCO, CFO, COO | 2259394 |
Disclosures
| Bond | 1 |
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.
