TH
Thomas L. Holtz
Some features on this profile are disabled
CRD#: 249317
TH
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.
Thomas Lasley Holtz SR, who also goes by Thomas Lasley Holtz, Tom Holtz, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 13 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 31, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Lasley Holtz | Tom Holtz
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. FIRST FINANCIAL ADVISORS, INC.; DIRECT OWNER; "DOING BUSINESS AS" (DBA); NON-CPA ACCOUNTING AND/OR TAX PREPARATION START DATE:7/1/1969 2. FIRST FINANCIAL ADVISORS, INC.; SOLE PROPRIETOR; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 07/01/1969; 160 HOURS PER MONTH. 3. FIRST FINANCIAL ADVISORS POSITION: REP OSJ NATURE: SOLE PROP INVESTMENT RELATED: YES NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 20 START DATE: 01/31/2014 ADDRESS: 6478 CENTERVILLE BUSINESS PKWY, CENTERVILLE OH 45459 DESCRIPTION: CURRENTLY DON'T HAVE CLIENTS IN CORP RIA 4. FIRST FINANCIAL ADVISORS POSITION: Agent NATURE: Sole prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 07/01/1969 ADDRESS: 6478 Centerville Business Pkwy, Centerville OH 45459, United States DESCRIPTION: Insurance brokerage, Life and fixed products 5. FIRST FINANCIAL ADVISORS POSITION: Rep NATURE: Tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/20/2005 ADDRESS: 6478 Centerville Business Pkwy, Centerville OH 45459, United States DESCRIPTION: Presentation of tax returns, management of tax prep
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
February 5, 2014 - June 16, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
CENTERVILLE, OH
Past
January 27, 2014 - June 16, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
CENTERVILLE, OH
Past
May 30, 2008 - February 3, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
DAYTON, OH
Past
June 26, 2007 - February 12, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
DAYTON, OH
Past
June 25, 2007 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
DAYTON, OH
Past
November 12, 2002 - July 31, 2007
SIMPLY MONEY ADVISORS
RIA
CRD#: 106619
DAYTON, OH
Past
March 27, 2002 - July 9, 2007
OSAIC WEALTH, INC.
BD
CRD#: 23131
DAYTON, OH
Past
April 1, 1999 - March 13, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 10, 1996 - April 12, 1999
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
November 19, 1989 - April 11, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
June 13, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
June 18, 1982 - June 23, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
April 8, 1981 - May 4, 1982
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
December 10, 1980 - May 27, 1981
OSAIC FS, INC.
BD
CRD#: 3870
Past
January 14, 1977 - November 29, 1980
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
December 13, 1973 - January 14, 1977
PLA SECURITIES CORPORATION
BD
CRD#: 666
Past
May 22, 1970 - January 28, 1974
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/12/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
FSC SECURITIES CORPORATION
3GENWEALTH | SPIEGEL FINANCIAL | SMITH MURRAY WEALTH | SITZLER FINANCIAL SERVICES | SHROM ASSOCIATES | SHEA & MCMURDIE RETIREMENT | SHARP FINANCIAL SERVICES | SHARP FINANCIAL | SHAFFER FINANCIAL SERVICES | SEASONS FINANCIAL ADVISORS | SCHMOLKE INVESTMENT TEAM | ROOTED FINANCIAL GROUP | ROCKPORT WEALTH MANAGEMENT | ROBSON PLANNING GROUP | RIVERLINK ADVISORS, LLC | RIVERBEND WEALTH MANAGEMENT | RIDGEGATE INVESTMENT MANAGEMENT | RICHARD HOE INVESTMENTS, LLC | RETIRESOURCE | RETIREMENT PLANNING & INVESTMENT SERVICES | R.J. WELSCH & ASSOCIATES, INC. | PROLIFIC WEALTH | PRICE FINANCIAL GROUP | PORTER KICKHAM, INC. | PIERCE & ASSOCIATES | PHRONETIC RETIREMENT ADVISORS | PENSURE GROUP | PATEL WEALTH STRATEGIES | PARK WEALTH ADVISORS | PAOLINI ADVISORS, LLC | OPTIMIZE CAPITAL MANAGEMENT | ONLY RETIRMENT | O'QUIN FIANNCIAL GROUP | O'BRIEN PLANNING STRATEGIES | NTUNE FINANCIAL GROUP | NORTHWEST GENERAL INSURANCE AND FINANCIAL SERVICES | NETTWORTH FINANCIAL GROUP | NETTUNO WEALTH MANAGEMENT | NETTUNO GROUP | MOUNTAIN CAPITAL | MOTTAU, ICENHOWER & ASSOCIATES | MOORESTREET FINANCIAL GROUP, LLC | MILLION WEALTH MANAGEMENT | MI401K RETIREMENT PLAN CONSULTANTS | MG RETIREMENT ADVISORS | MERRITT WEALTH STRATEGIES | MEFFORD WEALTH MANAGEMENT | MCKELL FINANCIAL GROUP | MAGNOLIA CAPITAL PARTNERS | MAGELLAN INVESTMENT ADVISORY SERVICES | LUMEN FINANCIAL GROUP | LUKE FORD FINANCIAL | LOVELL WEALTH MANAGEMENT | LONE STAR WEALTH MANAGEMENT | LILY WEALTH PARTNERS | LIANG CAPITAL ADVISORS | LESHNAK WEALTH | LENZE CAPITAL | LEGACY FINANCIAL SERVICES GROUP | KRAMER WEALTH MANAGERS | KNIGHTSBRIDGE FINANCIAL | KIDDER FINANCIAL GROUP | KEYSTONE FINANCIAL GROUP | KAVOCS FINANCIAL SOLUTIONS | KALYX CAPITAL MANAGEMENT | KALIS FINANCIAL | JIL FINANCIAL SERVICES, LLC | JAMES R. K. HARDY & ASSOCIATES | JAG FINANCIAL | IRVING FAMILY RETIREMENT PLANNING | INVESTMENT CAPITAL ADVISORS | INTEGRITY WEALTH ADVANTAGE | INDEPENDENT CAPITAL MANAGEMENT | IGRYPHON CAPITAL GROUP | HUSTAD WEALTH MANAGEMENT | HPK PROVIDENT ADVISORS | HOWARD WEALTH MANAGEMENT | HONOR CAPITAL | HOLMES MANAGEMENT LLC | HELMSMAN FINANCIAL PARTNERS | HARRIS & PRATT WELATH MANAGEMENT | HANZICH CONSULTING INC. | GRYPHON WEALTH MANAGEMENT | GRYPHON INSTITUTE | GREGORY A CROSBY, CFP | GREAT LAKES 401K | GOLDMAN HARRIS PRATT & ASSOCIATES WEALTH MANAGEMENT | GOLDMAN & ASSOCIATES WEALTH MANAGEMENT | GMBP WEALTH MANAGEMENT | GEM WEALTH PLANNING GROUP | FUNKHOUSER SHAFFER FINANCIAL SERVICES | FSC SECURITIES CORPORATION | FREEDOM ONE ADVISOR GROUP | FRAMEWORK FINANCIAL PLANNING | FINANCIAL SUCCESS STRATEGIES | FINANCIAL STRATEGIES GROUP | FINANCIAL SOLUTIONS GROUP | FINANCIAL INSIGHTS | FINANCIAL INDEPENDENCE LLC | FIDUCIARYADVISOR | FEDERAL EMPLOYEE BENEFITS | FAIRWINDS WEALTH MANAGEMENT | EFC WEALTH MANAGEMENT | EBERT ASSOCIATES | DLUZAK & ASSOCIATES, INC. | DIVERSIFIED FINANCIAL GROUP | DISEKER & COMPANY | DESTINY FINANCIAL GROUP | DELLINGER WEALTH MANAGEMENT | DECILIO FINANCIAL ADVISORS | DBW FINANCIAL SERVICES | CTM FINANCIAL GROUP, INC | CROSBY, TREVINO & ASSOCIATES, LLC | CRESTAR WEALTH MANAGEMENT | CREATIVE PENSION PLANS, INC. | CORNERSTONE WEALTH MANAGEMENT | COOLEY WEALTH MANAGEMENT | CONTINUUM FINANCIAL GROUP | CONSUS WEALTH MANAGEMENT, LLC | CONSCIOUS CAPITAL LLC | CONSCIOUS CAPITAL | COMPLO FINANCIAL SERVICES | CITADEL FINANCIAL & RETIREMENT SOLUTIONS. LLC | CITADEL FINANCIAL & RETIREMENT SOLUTIONS, LLC | CHERRINGTON BROTSKY CONSCIOUS CAPITAL | CHERRINGTON BROTSKY | CENTRUY FINANCIAL ADVISORS | CENTERPOINTE ADVISERS | CEBERT WEALTH MANAGEMENT | CARROLL ENTERPRISES LLC | CAROLINA WEALTH STEWARDSHIP GROUP | CAPITAL RESOURCE MANAGEMENT | CAPITAL ASSET MANAGEMENT | BROADVIEW FINANCIAL GROUP | BRENNAN & STUART, INC. | BRAD MILLS WEALTH MANAGEMENT | BOYD INVESTMENT SERVICES | BOUNDARY ROCK FINANCIAL GROUP | BLISS FINANCIAL SERVICES | BESSELMAN WEALTH PLANNERS | BEANE ATKINSON FINANCIAL SERVICES | BDL ADVISORS, LLC | BDL ADVISORS | BANYAN, ROCK, AND TALENT WEALTH STRATEGISTS | ATS | ARCH WEALTH MANAGEMENT | ARBEITER & BADIUK | ANDERSON WEALTH ADVISORS, LLC | ANDERSON WEALTH ADVISORS | AEGIS FINANCIAL GROUP, INC. | ADVANCED TRUSTEE STRATEGIES...
CRD#: 7461 / SEC#: 801-42017, 8-21770
BD
Terminated by SEC on 01/05/2024
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Contact information
Main Address
2300 Windy Ridge Pkwy Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
+1 (800) 547-2382
Established
Delaware since 05/04/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2,174
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICE CORPORATION | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HAMEL, CYNTHIA ANN | EVP, CHIEF OPERATIONS OFFICER | 3014361 |
| HAMMOND, DORI JAMILLE | VP, CHIEF COMPLIANCE OFFICER | 3259012 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 52,792 |
| AUM (Assets Under Management) | $ 11,745,651,239 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 16 |
| Bond | 8 |
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.
