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JH

Joshua M. Holden

Some features on this profile are disabled
CRD#: 2388025
JH

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.

Joshua Matthew Holden was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 1993. Joshua had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 17, 2018 - January 13, 2021

OPENDOOR SECURITIES LLC

BD
CRD#: 226581
Jersey City, NJ
Past

August 26, 2003 - February 8, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

July 19, 2000 - August 26, 2003

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 20, 1996 - December 2, 1998

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 27, 1993 - June 7, 1996

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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: 12/5/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/1993
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/2003
General Securities Principal Examination

Current Firm

OS
OPENDOOR SECURITIES LLC
OPENDOOR SECURITIES LLC

CRD#: 226581 / SEC#: , 8-69624

BD
Terminated by SEC on 08/06/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/19/2015
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OPEN DOOR TRADING LLCDIRECT OWNER
ESTES, SUSAN MANNINGCEO/ CHIEF COMPLIANCE OFFICER1028086
HOPKINS, THOMAS JOHNFINOP1835087

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

OPENDOOR SECURITIES LLC

CRD#: 226581

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