Gregg M. Hollidge
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.
Gregg Melvin Hollidge was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1973. Gregg had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, Series 62, SIE, Series 5, Series 000, Series 1, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - February 23, 2021
LPL FINANCIAL LLC
June 27, 2008 - February 14, 2018
SII INVESTMENTS, INC.
November 21, 2001 - June 30, 2008
AMUNI FINANCIAL, INC.
February 9, 2001 - November 21, 2001
JOSEPHTHAL & CO., INC.
October 21, 1999 - February 16, 2001
MARION BASS SECURITIES CORPORATION
May 5, 1999 - October 27, 1999
SCOTT & STRINGFELLOW, LLC
March 21, 1990 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
October 3, 1985 - March 26, 1990
UBS FINANCIAL SERVICES INC.
August 8, 1983 - September 30, 1985
FIRST UNION CAPITAL MARKETS CORP.
September 10, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 1, 1973 - September 30, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 24, 1973 - September 12, 1983
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 000
Date: 1/24/1973
General Securities Principal ExaminationSeries 1
Date: 1/24/1973
Registered Representative ExaminationSeries 40
Date: 9/16/1976
Registered Principal ExaminationSeries 12
Date: 8/13/1976
NYSE Branch Manager ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
