Kenneth C. Holtsclaw
Professional summary
Kenneth Cecil Holtsclaw was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kenneth had worked at 6 firms, which includes INVEST FINANCIAL CORPORATION, RETIREMENT FOUNDATIONS INC., INDEPENDENT FINANCIAL SECURITIES INC., SOUTHTRUST SECURITIES LLC, SOUTHTRUST INVESTMENT SERVICES INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1999 - November 2, 2006
INVEST FINANCIAL CORPORATION
April 7, 1998 - April 6, 1999
RETIREMENT FOUNDATIONS, INC.
January 20, 1996 - April 2, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 1, 1995 - March 31, 1998
SOUTHTRUST SECURITIES, LLC
September 30, 1994 - June 5, 1995
SOUTHTRUST INVESTMENT SERVICES, INC.
March 25, 1988 - March 31, 1998
SOUTHTRUST SECURITIES, LLC
December 21, 1983 - February 17, 1988
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
Red Flags
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