Holly L. Guthrie
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 L Guthrie, who also goes by Holly Lynn Deane, Holly Lynn Guthrie, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2000. Holly had worked at 5 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, Series 22TO, Series 82TO, Series 6TO, SIE, Series 16, Series 87, Series 86, Series 7, Series 2, Series 39, Series 26, Series 14, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2022 - June 21, 2024
WELLS FARGO SECURITIES, LLC
January 6, 2011 - October 27, 2022
JANNEY MONTGOMERY SCOTT LLC
August 22, 2008 - March 12, 2010
BOENNING & SCATTERGOOD, INC.
September 11, 2006 - August 25, 2008
JANNEY MONTGOMERY SCOTT LLC
August 11, 2003 - September 6, 2006
MORGAN KEEGAN & COMPANY, LLC
November 13, 2001 - April 28, 2003
INVESTEC INC.
January 2, 2000 - December 7, 2001
JANNEY MONTGOMERY SCOTT LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 2
Date: 1/25/1995
Non-Member General Securities ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
