Holly S. Garteiz
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 Suzanne Garteiz, who also goes by Holly Suzanne Gartiez, Holly Garteiz, Holly Suzanne Shepard, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2000. Holly had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - December 1, 2025
BROOKFIELD PRIVATE WEALTH LLC
April 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
Exams
Current Firm
BROOKFIELD PRIVATE WEALTH LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
