Stephen Hollatz
Professional summary
Stephen Hollatz, who also goes by Stephen Thomas Hollatz, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Shakopee, Minnesota.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Hollatz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2026 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 Marschall Road Suite 200, Shakopee, MN 55379December 12, 2016 - March 12, 2021
CETERA WEALTH SERVICES, LLC
November 15, 2016 - March 12, 2021
CETERA WEALTH SERVICES, LLC
December 19, 2013 - February 2, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
January 13, 2009 - October 7, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
November 1, 2007 - February 2, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
April 16, 2007 - October 15, 2007
TRANSAMERICA CAPITAL, LLC
July 1, 2005 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2005 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2004 - January 24, 2005
SUNAMERICA SECURITIES, INC.
July 1, 2002 - June 8, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
January 25, 2000 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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 6TO
Date: 6/29/2026
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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Company Information
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046Shakopee, MN 55379TRUST BUT VERIFY
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