Richard F. Holden
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.
Richard Frederick Holden was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 11 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2014 - March 30, 2020
OSAIC INSTITUTIONS, INC.
April 29, 2014 - March 30, 2020
OSAIC INSTITUTIONS, INC.
April 28, 2009 - November 20, 2013
HARVEST CAPITAL ADVISORS, LLC
January 4, 2007 - April 6, 2009
HARVEST CAPITAL ADVISORS, LLC
January 4, 2007 - November 20, 2013
HARVEST CAPITAL LLC
June 1, 2004 - December 31, 2006
WRP INVESTMENTS, INC.
June 1, 2004 - December 31, 2006
WRP INVESTMENTS, INC.
May 18, 1999 - May 28, 2004
MAIN STREET MANAGEMENT COMPANY
January 4, 1993 - May 28, 2004
MAIN STREET MANAGEMENT COMPANY
July 27, 1982 - December 31, 1992
MHA FINANCIAL CORP
February 4, 1980 - June 29, 1982
TOWNSLEY ASSOCIATES
December 23, 1974 - March 28, 1980
F. L. PUTNAM & COMPANY, INC.
November 5, 1973 - January 11, 1975
SOMERSET EQUITIES CORPORATION
November 20, 1972 - December 7, 1973
ADVANTAGE CAPITAL CORPORATION
June 21, 1972 - January 15, 1973
FML FUNDS DISTRIBUTION COMPANY
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Series 1
Date: 6/14/1972
Registered Representative ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
