Mark S. 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.
Mark Steven Holt, who also goes by Mark S Holt, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 8 firms and has passed the Series 63, SIE 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
June 12, 2013 - June 30, 2025
THE LEADERS GROUP, INC.
May 21, 2010 - June 13, 2013
PRINCIPAL SECURITIES, INC.
December 20, 2005 - March 8, 2010
MML INVESTORS SERVICES, LLC
September 7, 2001 - November 10, 2005
FSC SECURITIES CORPORATION
July 18, 2000 - February 5, 2001
PATAGON.COM SECURITIES CORP.
April 6, 2000 - July 11, 2000
UBS FINANCIAL SERVICES INC.
April 28, 1998 - December 7, 1999
FIRST EMPIRE SECURITIES, INC.
May 27, 1986 - January 30, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
