Christine T. Hollander
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.
Christine Thompson Hollander, who also goes by Christine Gay Hollander, Christine Gay Thompson, Christine Thompson, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1996. Christine had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2010 - February 6, 2017
INVEST FINANCIAL CORPORATION
March 3, 2010 - February 6, 2017
INVEST FINANCIAL CORPORATION
September 16, 2004 - March 2, 2010
KESTRA INVESTMENT SERVICES, LLC
August 12, 2004 - August 19, 2004
KESTRA INVESTMENT SERVICES, LLC
August 12, 2004 - March 2, 2010
KESTRA INVESTMENT SERVICES, LLC
March 24, 2004 - October 20, 2004
WELLS FARGO INVESTMENTS, LLC
March 24, 2004 - October 20, 2004
WELLS FARGO INVESTMENTS, LLC
October 4, 2002 - March 5, 2004
CITIGROUP GLOBAL MARKETS INC.
October 4, 2002 - March 5, 2004
CITIGROUP GLOBAL MARKETS INC.
May 17, 1999 - October 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1999 - October 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1996 - February 23, 1999
1717 CAPITAL MANAGEMENT COMPANY
June 19, 1996 - February 12, 1999
OSAIC WEALTH, 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
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
