Angela K. Holliday
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.
Angela Kristina Holliday, who also goes by Angela Holliday, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1996. Angela had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28 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
December 12, 1996 - November 13, 2024
FROST BROKERAGE SERVICES, INC.
May 30, 1996 - December 10, 1996
CITICORP INVESTMENT SERVICES
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/8/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| 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.
