Michael A. 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.
Michael Anthony Holt was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2019 - June 13, 2025
D.E. SHAW SECURITIES, L.L.C.
July 25, 2013 - May 10, 2019
APOLLO GLOBAL SECURITIES, LLC
May 24, 2013 - July 22, 2013
ALLIANZ GLOBAL INVESTORS U.S. LLC
May 10, 2013 - July 16, 2013
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
May 12, 2006 - May 16, 2012
PINEBRIDGE SECURITIES LLC
November 15, 2002 - October 4, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 1, 1999 - December 4, 2000
GPC SECURITIES, INC.
February 5, 1998 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
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
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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