Hollie G. Fagan
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.
Hollie G Fagan, who also goes by Hollie G Fagan, Hollie Gill Fagan, Hollie Gill, was a registered financial professional .
Hollie is a previously registered financial professional and started their career in finance in 2001. Hollie had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - May 24, 2021
BLACKROCK INVESTMENTS, LLC
May 18, 2010 - May 24, 2021
BLACKROCK FUND ADVISORS
May 17, 2010 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
March 23, 2009 - February 26, 2010
ALLIANCEBERNSTEIN L.P.
September 19, 2007 - February 26, 2010
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 12, 2004 - August 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2001 - August 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 2/26/2024
General Securities Representative ExaminationCurrent Firm
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
Disclosures
| Regulatory Event | 2 |
| 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.
