David H. Holbert
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.
David Harlan Holbert, who also goes by David Holbert, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 14 firms and has passed the Series 66, Series 63, SIE, 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
August 23, 2019 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2019 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2016 - August 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2016 - August 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2014 - March 1, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 14, 2013 - March 1, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 11, 2011 - January 3, 2013
BB&T INVESTMENT SERVICES, INC.
April 11, 2011 - January 3, 2013
BB&T INVESTMENT SERVICES, INC.
October 15, 2010 - March 30, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 7, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
April 2, 2008 - March 16, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
April 1, 2008 - March 30, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 21, 2007 - January 3, 2008
NBC SECURITIES, INC.
March 14, 2007 - January 3, 2008
NBC SECURITIES, INC.
July 26, 2006 - March 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 27, 2005 - July 21, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
October 18, 2005 - July 21, 2006
AMSOUTH INVESTMENT SERVICES, INC.
July 10, 2004 - October 6, 2005
IDS LIFE INSURANCE COMPANY
July 10, 2004 - October 6, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2003 - January 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2003 - January 28, 2004
IDS LIFE INSURANCE COMPANY
March 24, 2003 - January 28, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 1991 - September 27, 1991
MORGAN KEEGAN & COMPANY, LLC
July 21, 1987 - August 10, 1988
BBVA COMPASS INVESTMENT SOLUTIONS, INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
