Raymond C. Holland
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.
Raymond Charles Holland SR, who also goes by Raymond Charles Holland, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1971. Raymond had worked at 14 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 41, Series 9, Series 10, Series 14, Series 24, Series 8, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1998 - February 8, 2021
TRIAD SECURITIES CORP
June 10, 1996 - October 6, 1998
MF GLOBAL INC.
November 15, 1993 - December 31, 1997
THE HIGHLAND CAPITAL GROUP, INC.
June 25, 1993 - January 14, 1994
GRADY AND HATCH & COMPANY, INC.
April 15, 1991 - March 17, 1993
GRAYSON FINANCIAL LLC
January 4, 1989 - April 12, 1991
THE CHICAGO CORPORATION
August 7, 1986 - January 9, 1989
SCHRODER & CO. INC.
May 30, 1985 - July 7, 1986
THOMSON MCKINNON SECURITIES INC.
August 10, 1984 - October 1, 1984
PERSHING LLC
August 26, 1982 - March 15, 1984
BECKER PARIBAS INCORPORATED
February 2, 1982 - July 27, 1982
NEUBERGER BERMAN BD LLC
July 13, 1978 - January 3, 1982
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
April 12, 1973 - May 28, 1985
H. A. BRANDT & ASSOCIATES, INC
February 9, 1971 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 41
Date: 4/12/1973
NYSE Allied Member ExaminationSeries 8
Date: 3/19/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 4/15/1982
NYSE Branch Manager ExaminationSeries 40
Date: 2/5/1971
Registered Principal ExaminationCurrent Firm
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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