Holly S. Garteiz
Professional summary
Holly Suzanne Garteiz, who also goes by Holly Suzanne Gartiez, Holly Garteiz, Holly Suzanne Shepard, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in Chicago, Illinois.
Holly is registered as a RR (Registered Representative) and started their career in finance in 2000. Holly has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Holly Suzanne Garteiz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2022 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 110 N. Wacker Drive Suite 2700, Chicago, IL 60606April 30, 2019 - June 8, 2022
FORESIDE FUNDS DISTRIBUTORS LLC
January 30, 2015 - January 16, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
May 8, 2013 - January 30, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
May 16, 2005 - October 12, 2012
JANUS HENDERSON DISTRIBUTORS US LLC
June 6, 2003 - May 12, 2005
ICON DISTRIBUTORS, INC.
October 3, 2001 - October 31, 2002
BERGER DISTRIBUTORS LLC
April 5, 2000 - October 3, 2001
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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