Holly B. Hasty
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.
Holly Blades Hasty, who also goes by Holly Lea Blades, Holly Lea Hasty, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2000. Holly had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 55, Series 7, Series 14, Series 53, Series 4 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
August 7, 2012 - January 7, 2015
FSW ADVISORY SERVICES INC.
May 4, 2012 - October 28, 2014
FIRST SOUTHWEST COMPANY, LLC
July 8, 2009 - March 28, 2012
PENSON EXECUTION SERVICES, INC.
August 22, 2008 - May 3, 2012
PENSON FINANCIAL SERVICES, INC.
September 18, 2007 - August 19, 2008
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
January 21, 2000 - August 19, 2008
FIRST SOUTHWEST COMPANY, LLC
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 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
FSW ADVISORY SERVICES INC.
CRD#: 148818 / SEC#: 801-69739
Contact information
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.
