Holly G. Kindel

PROSPETTIVA FINANCIAL

San Francisco, CA 94111

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CRD#: 2836007

Professional summary

Holly Gillian Kindel, CFP®, who also goes by Holy Gillian Kindel, is a registered financial advisor currently at PROSPETTIVA FINANCIAL located in San Francisco, California.

Holly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Holly has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Holy Gillian Kindel

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) DELPHI COACHING LLC, PRINCIPAL SINCE 2008 IN SAN FRANCISCO, CA, NON-INVESTMENT RELATED, APPROX. 5-10 HRS PER MONTH DURING NON-TRADING HOURS PROVIDING FINANCIAL COACHING. 2) SAGE FINANCIAL SOLUTIONS, INC.; NOT INVESTMENT-RELATED; COMPANY IS A 501(c)(3) ORGANIZATION THAT TRAINS FINANCIAL PROFESSIONALS ON COACHING SKILLS AND CONNECTS THEM TO COMMUNITY-BASED ORGANIZATIONS AND INDIVIDUALS WHO ARE LOW-TO-MODERATE INCOME; TREASURER; START DATE: 2005; 2 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Gillian Kindel's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

July 2, 2019 - Present

PROSPETTIVA FINANCIAL

Office #1: 22 Battery Street Suite 426, San Francisco, CA 94111

RIA

CRD#: 148760

San Francisco, CA

Past

May 18, 2018 - July 2, 2019

OCCIDENTAL ASSET MANAGEMENT, LLC

RIA

CRD#: 168650

BURLINGAME, CA

Past

September 18, 2003 - December 13, 2017

MOSAIC FINANCIAL PARTNERS, INC.

RIA

CRD#: 105180

SAN FRANCISCO, CA

Past

August 31, 1999 - December 17, 2001

M. HADLEY SECURITIES, INC.

CRD#: 37893

SAN FRANCISCO, CA

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".

PROSPETTIVA FINANCIAL

PROSPETTIVA FINANCIAL | RHODES & FLETCHER, LLC | PROSPETTIVA FINANCIAL, LLC | PROSPETTIVA FINANCIAL LLC

CRD#: 148760 / SEC#: 801-123729

RIA

Registered Investment Advisory firm - (4/18/2022 Approved)

California

Registered Investment Advisory firm - (5/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(7/2/2019)

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.

Exams

State Security Law Exam

Series 63

Date: 10/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/30/1999

General Securities Representative Examination

Current Firm

PROSPETTIVA FINANCIAL

PROSPETTIVA FINANCIAL | RHODES & FLETCHER, LLC | PROSPETTIVA FINANCIAL, LLC | PROSPETTIVA FINANCIAL LLC

CRD#: 148760 / SEC#: 801-123729

RIA

Registered Investment Advisory firm - (4/18/2022 Approved)

California

Registered Investment Advisory firm - (5/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2022 Terminated)

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Contact information

Main Address

22 Battery Street Suite 426, San Francisco, CA 94111

Mailing Address

Phone number

(415) 362-8636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPETTIVA FINANCIAL LLC - FORM ADV PART 2A (2/10/2025)

Regulatory assets under management

Total Number of Accounts	292
AUM (Assets Under Management)	$ 115,975,033

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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Holly G. Kindel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Gillian Kindel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROSPETTIVA FINANCIAL

OCCIDENTAL ASSET MANAGEMENT, LLC

MOSAIC FINANCIAL PARTNERS, INC.

M. HADLEY SECURITIES, INC.

Primary Firm SEC Registration

PROSPETTIVA FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1999

Series 7

Date: 8/30/1999

Current Firm

PROSPETTIVA FINANCIAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPETTIVA FINANCIAL

TRUST BUT VERIFY

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