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Randy Holte

CRD# 2299477·Registered 1993 - 2013
Previously Registered: Being a previously registered professional could mean that Randy 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.

Professional Summary

Randy Holte, who also goes by Randy M Holte, Randy Merle Holte, was a registered financial advisor. Randy was a previously registered financial professional and started their career in finance 1993 - 2013. Randy had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Randy M Holte, Randy Merle Holte

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

INDEPENDENCE REALTY SECURITIES, LLC.·CRD# 150161
BD
Minneapolis, MN
September 12, 2011 - May 17, 2013
ALLIANZ LIFE FINANCIAL SERVICES, LLC·CRD# 612
BD
Golden Valley, MN
October 8, 2001 - November 5, 2010
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
January 17, 1998 - January 21, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED·CRD# 466
BD
Minneapolis, MN
January 19, 1993 - January 1, 1998

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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

Contact Information

Established

Delaware since 03/26/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

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

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 2011About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2001About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 2002About the Series 26 exam

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CRS (Client Relationship Summary)

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

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