Todd M. Holman
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.
Todd Michael Holman was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2001. Todd had worked at 4 firms and has passed the Series 66, 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
January 11, 2008 - January 9, 2018
CAPITAL ONE ADVISORS, LLC
January 11, 2008 - January 9, 2018
CAPITAL ONE INVESTING, LLC
August 20, 2004 - November 19, 2007
FIRST HORIZON ADVISORS, INC.
July 22, 2004 - November 19, 2007
FIRST HORIZON ADVISORS, INC.
December 11, 2001 - July 6, 2004
UBS FINANCIAL SERVICES INC.
October 25, 2001 - July 6, 2004
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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