Gregory D. Holloway

SUNDVOLD FINANCIAL

COLUMBIA, MO 65203

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CRD#: 2339837

Professional summary

Gregory Dean Holloway, who also goes by Gregory D Holloway, is a registered financial advisor currently at SUNDVOLD FINANCIAL located in Columbia, Missouri.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Gregory has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory D Holloway

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) - RIA

Click below to view Gregory Dean Holloway's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 27, 2005 - Present

SUNDVOLD FINANCIAL

Office #1: 1000 W. Nifong Building 4, Suite 104, Columbia, MO 65203

RIA

CRD#: 108176

COLUMBIA, MO

Past

November 1, 1999 - September 29, 2005

LEGACY FINANCIAL GROUP, INC.

RIA

CRD#: 113885

COLUMBIA, MO

Past

July 30, 1993 - October 11, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUNDVOLD FINANCIAL

SUNDVOLD CAPITAL MANAGEMENT LLC | SUNDVOLD FINANCIAL

CRD#: 108176 / SEC#: 801-57007

RIA

Registered Investment Advisory firm - (11/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(10/27/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/29/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUNDVOLD FINANCIAL

SUNDVOLD CAPITAL MANAGEMENT LLC | SUNDVOLD FINANCIAL

CRD#: 108176 / SEC#: 801-57007

RIA

Registered Investment Advisory firm - (11/18/1999 Approved)

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Contact information

Main Address

1000 W. Nifong Building 4, Suite 104, Columbia, MO 65203

Mailing Address

Phone number

(573) 443-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUNDVOLD CAPITAL MANAGEMENT (2/3/2025)

Regulatory assets under management

Total Number of Accounts	450
AUM (Assets Under Management)	$ 234,000,000

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.

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Gregory D. Holloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Dean Holloway's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNDVOLD FINANCIAL

LEGACY FINANCIAL GROUP, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

SUNDVOLD FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1993

Series 6

Date: 7/29/1993

Current Firm

SUNDVOLD FINANCIAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUNDVOLD FINANCIAL

TRUST BUT VERIFY

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