Robert C. Holmen

STONECASTLE SECURITIES

NEW YORK, NY 10019

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CRD#: 2919060

Professional summary

Robert Christopher Holmen is a registered financial professional currently at STONECASTLE SECURITIES, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Christopher Holmen'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

November 30, 2010 - Present

STONECASTLE SECURITIES, LLC

Office #1: 152 West 57th Street 52nd Floor, New York, NY 10019Office #2: 152 West 57th Street 52nd Fl, New York, NY 10019

CRD#: 131211

NEW YORK, NY

Past

March 23, 1998 - July 8, 2010

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

LADERA RANCH, CA

Past

August 25, 1997 - July 8, 1998

FINANCIAL ASSET MANAGEMENT, INC.

CRD#: 18514

COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(3/3/2011)

Connecticut
(3/3/2011)

Florida
(5/22/2024)

Georgia
(4/26/2024)

New Jersey
(3/3/2011)

New York
(11/30/2010)

Utah
(3/3/2011)

Exams

State Security Law Exam

Series 63

Date: 12/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 6/17/2004

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

STONECASTLE SECURITIES, LLC

STONE CASTLE SECURITIES, LLC | STONECASTLE SECURITIES, LLC

CRD#: 131211 / SEC#: , 8-66434

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

152 West 57th Street 52nd Fl, New York, NY 10019

Mailing Address

152 West 57th Street 52nd Floor, New York, NY 10019

Phone number

212-354-6500 X. 304

Established

Delaware since 03/08/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STONECASTLE PARTNERS, LLC	SOLE MEMBER
HOLMEN, ROBERT CHRISTOPHER	PRESIDENT, CCO	2919060

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert C. Holmen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Christopher Holmen's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

FINANCIAL ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/1997

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/22/1997

Series 14

Date: 1/2/2023

Series 24

Date: 5/3/2006

Series 28

Date: 6/17/2004

FINRA

Current Firm

STONECASTLE SECURITIES, LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STONECASTLE SECURITIES, LLC

TRUST BUT VERIFY

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