Holly S. Baggot
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 S Baggot, who also goes by Holly S Baggot Ms., Holly Ann Schroeder Ms., was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2000. Holly had worked at 2 firms and has passed the Series 66, Series 99TO, 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
July 2, 2009 - July 1, 2024
MFD DISTRIBUTOR, LLC
June 25, 2003 - July 2, 2009
CUNA BROKERAGE SERVICES, INC.
September 7, 2000 - July 2, 2009
CUNA BROKERAGE SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MFD DISTRIBUTOR, LLC
CRD#: 44930 / SEC#: , 8-50894
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
