Sean D. Holt
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.
Sean David Holt was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2016 - April 11, 2016
GROWTH CAPITAL SERVICES, INC.
August 29, 2012 - December 23, 2013
GROWTH CAPITAL SERVICES, INC.
August 27, 1997 - March 30, 1999
GOLDMAN SACHS & CO. LLC
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 62
Date: 8/26/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 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.
