Stephen E. Holloway
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 Edward Holloway, who also goes by Stephen E Holloway, Steve Holloway, Steven Edward Holloway, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2005 - December 31, 2017
ADVOCATE WEALTH MANAGEMENT, LLC
June 10, 2004 - December 31, 2004
GENEOS WEALTH MANAGEMENT, INC.
January 27, 2004 - December 31, 2004
GENEOS WEALTH MANAGEMENT, INC.
January 30, 1998 - November 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 9, 1990 - September 25, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
December 7, 1987 - April 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1986 - December 14, 1987
CITIGROUP GLOBAL MARKETS INC.
October 23, 1985 - June 18, 1986
E. F. HUTTON & COMPANY 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 8
Date: 3/31/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ADVOCATE WEALTH MANAGEMENT, LLC
CRD#: 133465 / SEC#: 801-70855
Contact information
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.
