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LH

Lowell J. Holstein

Some features on this profile are disabled
CRD#: 1915434
LH

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.

Lowell James Holstein was a registered financial professional .

Lowell is a previously registered financial professional and started their career in finance in 1989. Lowell had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 11, 1997 - August 5, 1998

SAN CLEMENTE SECURITIES, INC.

BD
CRD#: 21895
SAN CLEMENTE, CA
Past

August 8, 1995 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

August 8, 1995 - November 13, 2014

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
LITHIA, FL
Past

January 3, 1995 - July 14, 1995

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

September 12, 1994 - December 31, 1994

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

February 6, 1989 - September 19, 1994

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

January 24, 1989 - February 25, 1989

POWER SECURITIES CORPORATION

BD
CRD#: 15527

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination

Current Firm

SC
SAN CLEMENTE SECURITIES, INC.
ANVIL CAPITAL CORPORATION | SAN CLEMENTE SECURITIES, INC. | SAN CLEMENTE FINANCIAL GROUP SECURITIES, INC. | NEWMARK CAPITAL, INC. | J.E.M. SECURITIES GROUP, INC. | BISL SECURITIES, INC.

CRD#: 21895 / SEC#: , 8-39369

BD
Terminated by SEC on 08/20/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/11/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHRISTOPHER, COOKE BAILLEOWNER
SUNDERLAND, THOMAS HENRIOWNER
CHRISTOPHER, COOKE BAILLEPRESIDENT1590203
CHRISTOPHER, COOKE BAILLECOMPLIANCE OFFICER1590203
DIMEGLIO, JOHN JOSEPHFINOP2908029
SUNDERLAND, THOMAS HENRIEXECUTIVE VICE PRESIDENT1636630

Disclosures

Regulatory Event14
Arbitration4

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.

Company Information

SAN CLEMENTE SECURITIES, INC.

CRD#: 21895

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