Sabrina L. Holme
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.
Sabrina Latiolais Holme, who also goes by Sabrina L Holme, Sabrina Latiolais Holme Mrs., Sabrina Marie Latiolais Miss, Sabrina L Toups Mrs., was a registered financial professional .
Sabrina is a previously registered financial professional and started their career in finance in 2001. Sabrina had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2013 - March 5, 2015
MMC SECURITIES LLC
September 27, 2004 - October 24, 2011
MML INVESTORS SERVICES, LLC
September 17, 2001 - October 16, 2002
CAPGROUP SECURITIES, L.L.C.
February 2, 2001 - January 2, 2004
CAPITAL ADVISORY GROUP
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
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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