Alvin B. Holt
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.
Alvin Buck Holt was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1970. Alvin had worked at 5 firms and has passed the Series 63, Series 7, Series 22 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
June 27, 1988 - September 30, 1988
HARBOR AMERICAN INVESTMENT GROUP, INC.
October 5, 1987 - June 10, 1988
WORLD INVEST CORPORATION
June 26, 1985 - September 27, 1985
ESI SECURITIES, INC.
March 2, 1972 - October 16, 1974
WADDELL & REED
April 20, 1970 - March 23, 1972
ADVANTAGE CAPITAL CORPORATION
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: 9/25/1964
Registered Representative ExaminationCurrent Firm
HARBOR AMERICAN INVESTMENT GROUP, INC.
CRD#: 17841 / SEC#: , 8-35915
Contact information
Documents
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.
