Robert S. Holley
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.
Robert Scott Holley was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 82, Series 7 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
June 19, 2018 - May 23, 2019
HARKEN CAPITAL SECURITIES, LLC
October 22, 2012 - June 8, 2016
HARKEN CAPITAL SECURITIES, LLC
April 18, 2011 - October 22, 2012
COMPASS SECURITIES CORPORATION
July 1, 2002 - January 17, 2003
THORPE CAPITAL, 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
HARKEN CAPITAL SECURITIES, LLC
CRD#: 163749 / SEC#: , 8-69077
Contact information
FINRA licenses (12 States and Territories)
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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