Holly A. Oren
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.
Holly Ann Oren, who also goes by Holly Ann Nelson, Holly Nelson, Holly Ann Noori, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1988. Holly had worked at 11 firms and has passed the Series 66, Series 7 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
September 26, 2012 - June 11, 2013
SIGNATOR INVESTORS, INC.
January 26, 2011 - February 6, 2012
SIGNATOR INVESTORS, INC.
September 4, 2007 - July 28, 2009
SIGNATOR INVESTORS, INC.
June 21, 2005 - July 13, 2007
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
August 18, 2004 - July 13, 2007
J.P. TURNER & COMPANY, L.L.C.
April 3, 2003 - August 17, 2004
TRUIST INVESTMENT SERVICES, INC.
April 3, 2003 - August 17, 2004
TRUIST SECURITIES, INC.
March 13, 2003 - August 17, 2004
TRUIST INVESTMENT SERVICES, INC.
March 13, 2003 - August 17, 2004
TRUIST SECURITIES, INC.
January 23, 2001 - December 12, 2001
ADVANTAGE CAPITAL CORPORATION
May 14, 1996 - December 12, 2001
FSC SECURITIES CORPORATION
June 7, 1994 - April 24, 1996
KEOGLER, MORGAN & COMPANY, INC.
June 13, 1991 - August 2, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 13, 1991 - August 2, 1994
EQUITABLE ADVISORS, LLC
September 16, 1988 - September 5, 1989
MONY SECURITIES CORPORATION
September 13, 1988 - June 24, 1991
FSC SECURITIES CORPORATION
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
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| 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.
