Timothy W. 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.
Timothy Wilford Holt was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2009 - January 5, 2016
J. W. COLE ADVISORS, INC.
September 29, 2009 - December 23, 2015
J.W. COLE FINANCIAL, INC.
August 1, 2006 - October 5, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
June 24, 2005 - August 24, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - October 5, 2009
WORLD GROUP SECURITIES, INC.
May 1, 1998 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
