Erick R. Holt
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.
Erick Robert Holt was a registered financial professional .
Erick is a previously registered financial professional and started their career in finance in 1989. Erick had worked at 5 firms and has passed the SIE, Series 7, Series 14, Series 8 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
July 10, 2006 - December 23, 2019
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 15, 2005 - January 5, 2006
AT INVESTOR SERVICES, INC.
April 27, 2000 - July 15, 2005
GPC SECURITIES, INC.
May 5, 1997 - June 2, 1999
CITICORP SECURITIES SERVICES, INC.
December 19, 1989 - March 3, 1997
MORGAN STANLEY DW 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
Series 8
Date: 3/2/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
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.
