Keia K. 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.
Keia K Holt, who also goes by Keia Katrell Holt, was a registered financial professional .
Keia is a previously registered financial professional and started their career in finance in 1998. Keia had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2023 - December 16, 2025
EMPOWER ADVISORY GROUP, LLC
September 6, 2023 - December 16, 2025
EMPOWER FINANCIAL SERVICES, INC.
October 7, 2021 - August 22, 2023
UBS FINANCIAL SERVICES INC.
October 7, 2021 - August 22, 2023
UBS FINANCIAL SERVICES INC.
March 10, 2016 - October 22, 2021
NATIONWIDE INVESTMENT ADVISORS, LLC
January 11, 2013 - March 21, 2016
NATIONWIDE SECURITIES, LLC
October 31, 2012 - October 22, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 1, 2009 - November 1, 2012
MORGAN STANLEY
June 1, 2009 - November 1, 2012
MORGAN STANLEY
March 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 2, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2026 | ||
| 03/28/2025 | ||
| 11/21/2023 |
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.
