Laura 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.
Laura Holt, CFP®, who also goes by Laura E Dye, Laura Elizabeth Dye, Laura Elizabeth Holt, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1999. Laura had worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - September 16, 2022
GOLDMAN SACHS & CO. LLC
November 1, 2017 - June 30, 2020
CETERA WEALTH SERVICES, LLC
September 27, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
August 17, 2017 - September 16, 2022
UNITED CAPITAL FINANCIAL ADVISORS
February 23, 2015 - November 15, 2016
BOK FINANCIAL SECURITIES, INC.
November 12, 2013 - November 15, 2016
BOK FINANCIAL SECURITIES, INC.
November 7, 2006 - February 26, 2013
HILLTOP SECURITIES INC.
November 7, 2006 - February 26, 2013
HILLTOP SECURITIES INC.
November 14, 2002 - February 26, 2013
MOMENTUM INDEPENDENT NETWORK INC.
November 14, 2002 - February 26, 2013
MOMENTUM INDEPENDENT NETWORK INC.
June 15, 2000 - December 10, 2002
AVANTAX INVESTMENT SERVICES, INC.
September 21, 1999 - May 25, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
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
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 41,782 |
| AUM (Assets Under Management) | $ 114,897,715,726 |
Disclosures
| Regulatory Event | 409 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 |
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.
