Roy L. Holstein
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.
Roy Lee Holstein was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1969. Roy had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5, PC, Series 000, Series 1, Series 10, Series 9, 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
October 18, 2019 - March 11, 2022
ROBERT W. BAIRD & CO. INCORPORATED
October 18, 2019 - March 11, 2022
ROBERT W. BAIRD & CO. INCORPORATED
January 24, 2006 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
September 16, 1991 - October 18, 2019
J.J.B. HILLIARD, W.L. LYONS, LLC
November 6, 1984 - September 17, 1991
MORGAN STANLEY DW INC.
August 11, 1980 - November 26, 1984
ALEX. BROWN & SONS INCORPORATED
January 21, 1969 - August 8, 1980
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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 5
Date: 1/25/1983
Interest Rate Options ExaminationPC
Date: 10/2/1980
AMEX Put and Call ExamSeries 000
Date: 12/17/1965
General Securities Principal ExaminationSeries 1
Date: 12/17/1965
Registered Representative ExaminationSeries 40
Date: 12/18/1976
Registered Principal ExaminationSeries 12
Date: 12/18/1971
NYSE Branch Manager ExaminationCurrent Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
