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RH

Randy Holte

Some features on this profile are disabled
CRD#: 2299477
RH

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.

Randy Holte, who also goes by Randy M Holte, Randy Merle Holte, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1993. Randy had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy M Holte | Randy Merle Holte

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

September 12, 2011 - May 17, 2013

INDEPENDENCE REALTY SECURITIES, LLC.

BD
CRD#: 150161
MINNEAPOLIS, MN
Past

October 8, 2001 - November 5, 2010

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
GOLDEN VALLEY, MN
Past

January 17, 1998 - January 21, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 19, 1993 - January 1, 1998

JOHN G. KINNARD AND COMPANY, INCORPORATED

BD
CRD#: 466
MINNEAPOLIS, MN

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: 10/29/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/5/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/4/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

IR
INDEPENDENCE REALTY SECURITIES, LLC.
EMPIRE AMERICAN REALTY, LLC | INDEPENDENCE REALTY SECURITIES, LLC.

CRD#: 150161 / SEC#: , 8-68225

BD
Terminated by SEC on 08/05/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/26/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RAIT TRS, LLCOWNER-MEMBER-MANAGER
AHLBERG, NATHAN JAMESVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/OPERATING MANAGER4934866
BEATON, DANIEL STEWARTFINOP4240769

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

INDEPENDENCE REALTY SECURITIES, LLC.

CRD#: 150161

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