Brett J. Holiman
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.
Brett Jordan Holiman, who also goes by Brett Holiman, was a registered financial advisor .
Brett is a previously registered financial advisor and started their career in finance in 1987. Brett had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1999 - August 15, 2003
INVESTMENT ADVISORY GROUP LLC
November 17, 1989 - October 12, 1999
STEPHENS
October 3, 1988 - January 23, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
March 2, 1987 - October 3, 1988
UMIC, 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
Current firm
No current employment
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.
