KH
Kevin P. Holleron
ADVISORS ASSET MANAGEMENT
Leesburg, VA
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CRD#: 2578956
KH
Professional summary
Kevin Patrick Holleron, who also goes by Kevin P Holleron, Kevin Patrick Holleron, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Leesburg, Virginia.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin P Holleron | Kevin Patrick Holleron
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Patrick Holleron's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Patrick Holleron's CRS (Customer Relationship Summary).
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
Current
August 22, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Leesburg, VA
Current
August 20, 2024 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 300 Carnegie Center Suite 100, Princeton, NJ 08540RIA
BD
CRD#: 46727
Princeton, NJ
Past
October 9, 2020 - August 19, 2024
HINES PRIVATE WEALTH SOLUTIONS LLC
BD
CRD#: 128145
HOUSTON, TX
Past
August 25, 2020 - September 15, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SAN ANTONIO, TX
Past
August 25, 2020 - September 15, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
SAN ANTONIO, TX
Past
September 6, 2018 - July 18, 2019
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
SAN ANTONIO, TX
Past
August 31, 2018 - July 18, 2019
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
SAN ANTONIO, TX
Past
December 3, 2012 - December 19, 2016
FS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 145244
PHILADELPHIA, PA
Past
February 15, 2011 - November 19, 2015
EAGLE ASSET MANAGEMENT INC
RIA
CRD#: 110653
ST. PETERSBURG, FL
Past
January 6, 2011 - December 3, 2012
CARILLON FUND DISTRIBUTORS, INC.
BD
CRD#: 139749
ST. PETERSBURG, FL
Past
February 16, 2010 - December 9, 2010
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
May 5, 2006 - February 17, 2009
VAN KAMPEN ADVISORS INC
RIA
CRD#: 104703
HOUSTON, TX
Past
August 6, 2002 - February 17, 2009
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
March 8, 1995 - August 9, 2002
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(8/28/2024)
RR
District of Columbia(8/28/2024)
RR
Maryland(8/27/2024)
RR
North Carolina(4/7/2025)
RR
Texas(8/20/2024)
IAR
Texas(8/22/2024)
RR
Virginia(8/21/2024)
IAR
Virginia(2/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
