Ann S. Holman
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.
Ann Shirley Holman, who also goes by Ann Holman Evans, Ann S Holman, Ann Holman York, Ann S York, was a registered financial advisor .
Ann is a previously registered financial advisor and started their career in finance in 1993. Ann had worked at 5 firms and has passed the Series 63, Series 7, Series 51 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
December 15, 2006 - August 29, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 31, 1998 - January 25, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 1997 - December 15, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 7, 1997 - November 4, 1997
SUNSET FINANCIAL SERVICES, INC.
September 11, 1995 - June 18, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 28, 1995 - August 4, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 1, 1995 - September 11, 1995
INVEST FINANCIAL CORPORATION
January 21, 1993 - February 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
