Jeffrey N. Holtman

DOCK STREET CAPITAL MANAGEMENT LLC

Westport, CT 06880

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CRD#: 2712045

Professional summary

Jeffrey Neal Holtman, who also goes by Jeffrey N Holtman, is a registered financial advisor currently at DOCK STREET CAPITAL MANAGEMENT LLC located in Westport, Connecticut and BEECH HILL SECURITIES, INC. located in Westport, Connecticut.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jeffrey has worked at 6 firms and has passed the Series 66, Series 63, Series 72, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey N Holtman

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.

Dock Street Capital Management LLC ADDRESS OF BUSINESS: 575-b RIVERSIDE AVE WESTPORT CT 06880 NATURE OF BUSINESS: ASSET MANAGEMENT POSITION/TITLE MANAGING PARTNER START DATE: 02/2009 APPROX # HRS PER MONTH TO BUSINESS: 160 APPROX #HRS PER MONTH DURING SECURITIES TRADING HOURS:8 DUTIES: ASSET MANAGEMENT/LIQUIDATION SERVICES COMPENSATION: BASE & BONUS Mulberry Way Management, LLC & Corp. ADDRESS OF BUSINESS: 26399 SMALLMAN STREET, PITTSBURGH PA 15222 NATURE OF BUSINESS: ENTITY HOLDS THE OWNERSHIP OF COMMERCIAL REAL ESTATE; TITLE: PRESIDENT AND MEMBER STARTING IN FEB 2016. MY INVOLVEMENT IS LIMITED TO LESS THAN 1 HR PER YEAR. PCS Franchising LLC, Non-Investment related, ADDRESS OF BUSINESS: 6 Briarcrest Square, Hershey PA 17033, NATURE OF BUSINESS: Sell food items, POSITION/TITLE: Advisor, 2023, APPROX# HRS PER MONTH TO BUSINESS: 16Hrs. HOURS DURING SECURITIES TRADING HOURS: 0, DUTIES: None

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Neal Holtman'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®

None

Experience

Current

October 11, 2012 - Present

DOCK STREET CAPITAL MANAGEMENT LLC

Office #1: 575-b Riverside Avenue, Westport, CT 06880

RIA

CRD#: 157155

Westport, CT

Current

December 14, 2020 - Present

BEECH HILL SECURITIES, INC.

Office #1: 575-b Riverside Avenue, Westport, CT 06880

CRD#: 24771

Westport, CT

Past

March 17, 2011 - September 2, 2020

CROSS POINT CAPITAL LLC

CRD#: 136223

WESTPORT, CT

Past

April 16, 2002 - August 4, 2009

KBC SECURITIES USA LLC

CRD#: 46709

NEW YORK, NY

Past

January 1, 1997 - May 9, 2001

CHARTER ATLANTIC SECURITIES COMPANY, INC.

CRD#: 19737

NEW YORK, NY

Past

February 27, 1996 - May 15, 1996

JPMSI

CRD#: 15733

NEW YORK, NY

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".

DOCK STREET CAPITAL MANAGEMENT LLC

CRD#: 157155 / SEC#: 801-77192

RIA

Registered Investment Advisory firm - (10/3/2012 Approved)

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.

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

California
(1/7/2021)

Colorado
(1/3/2024)

IAR

Connecticut
(10/11/2012)

Connecticut
(12/14/2020)

Delaware
(10/1/2025)

Illinois
(1/7/2021)

Massachusetts
(3/7/2023)

New York
(12/14/2020)

Pennsylvania
(12/5/2024)

Texas
(1/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/10/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/29/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/26/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DOCK STREET CAPITAL MANAGEMENT LLC

CRD#: 157155 / SEC#: 801-77192

RIA

Registered Investment Advisory firm - (10/3/2012 Approved)

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Contact information

Main Address

575-b Riverside Avenue, Westport, CT 06880

Mailing Address

Phone number

(212) 457-8258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV - PART 2 - 2024 (1/27/2025)

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 1,330,710,296

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey N. Holtman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Neal Holtman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEECH HILL SECURITIES, INC.

CROSS POINT CAPITAL LLC

KBC SECURITIES USA LLC

CHARTER ATLANTIC SECURITIES COMPANY, INC.

JPMSI

Primary Firm SEC Registration

DOCK STREET CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2012

Series 63

Date: 3/11/1996

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/29/1998

Series 7

Date: 2/26/1996

FINRA

Current Firm

DOCK STREET CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOCK STREET CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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