Holly A. Bell
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 A Bell, who also goes by Holly Ann Bell, Holly Bell, Holly Ann Rookstool, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1989. Holly had worked at 10 firms and has passed the Series 65, 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
June 6, 2017 - June 4, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 8, 2011 - July 8, 2015
CITY NATIONAL SECURITIES, INC.
October 22, 2007 - December 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2002 - April 17, 2006
FIFTH THIRD SECURITIES, INC.
September 11, 2002 - December 11, 2002
TRUIST INVESTMENT SERVICES, INC.
August 28, 2002 - December 11, 2002
TRUIST INVESTMENT SERVICES, INC.
February 14, 2000 - August 4, 2000
AMSOUTH INVESTMENT SERVICES, INC.
August 6, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
October 6, 1989 - August 6, 1998
INTERVEST INTERNATIONAL EQUITIES CORPORATION
June 26, 1989 - October 10, 1989
IDS LIFE INSURANCE COMPANY
June 26, 1989 - October 10, 1989
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
