Robert W. Holstrom
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.
Robert William Perry Holstrom, who also goes by Bob Holstrom, Robert William Holstrom, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2011 - June 12, 2014
NATIONAL PLANNING CORPORATION
May 13, 2011 - June 12, 2014
NATIONAL PLANNING CORPORATION
September 8, 2009 - June 2, 2011
LPL FINANCIAL LLC
September 8, 2009 - June 2, 2011
LPL FINANCIAL LLC
April 3, 1998 - September 8, 2009
ASSOCIATED SECURITIES CORP.
July 8, 1997 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
January 4, 1991 - September 8, 2009
ASSOCIATED SECURITIES CORP.
May 14, 1990 - December 31, 1990
E.F. DALY FINANCIAL GROUP
February 13, 1979 - May 14, 1990
MANAGED SECURITIES CORPORATION
November 4, 1971 - February 28, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
September 17, 1970 - November 4, 1971
CAPITAL SECURITIES CO
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: 12/4/1962
Registered Representative ExaminationF04
Date: 10/31/1978
Financial Principal ExaminationSeries 00
Date: 3/28/1968
General Securities Principal ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
