Stuart A. Holland
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.
Stuart Abbitt Holland, who also goes by Stu Holland, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1986. Stuart had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 26 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2004 - November 13, 2020
PACIFIC SELECT DISTRIBUTORS, LLC
July 9, 2003 - December 14, 2004
INVESCO DISTRIBUTORS, INC.
December 1, 1999 - July 8, 2003
INVESCO DISTRIBUTORS, INC.
March 2, 1998 - December 7, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
November 18, 1996 - January 5, 1998
FIRST UNION BROKERAGE SERVICES, INC.
December 5, 1995 - June 8, 1996
NUVEEN SECURITIES, LLC
November 21, 1986 - April 21, 1988
INVESTMENT CORPORATION OF VIRGINIA
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 7TO
Date: 3/15/2022
General Securities Representative ExaminationCurrent Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
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.
