EH
Erik R. Holt
INDEPENDENT WEALTH NETWORK
FREDERICK, MD
Some features on this profile are disabled
CRD#: 4635271
EH
Professional summary
Erik R Holt, who also goes by Eric Holt, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Frederick, Maryland and EMERSON EQUITY LLC located in Frederick, Maryland.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Erik has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Holt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) HOLT ADVISORY GROUP, LLC. - FIXED INSURANCE-INVESTMENT RELATED, FREDERICK, MD 21702, FIXED INSURANCE-LIFE, HEALTH AND DISABILITY, AGENT, I HELP CLIENTS WITH THEIR LIFE, DISABILITY & HEALTH INSURANCE NEEDS., 4 HRS A MONTH, 1 PER WEEK DURING SECURITIES TRADING HRS, 04/08 2) EVERGREEN FINANCIAL GROUP-INVESTMENT RELATED, FREDERICK, MD,21702, DBA THROUGH WHICH SECURITIES ARE OFFERED THROUGH EMERSON EQUITY, ADVISORY BUSINESS THROUGH INDEPENDENT WEALTH NETWORK AND INSURANCE PRODUCTS ARE MARKETED., FINANCIAL PROFESSIONAL, MANAGE THE BOOKS AND RECORDS FOR MY DBA, 20 HRS A MONTH, 0 DURING SECURITIES TRADING HRS., 4/08 3) INDEPENDENT WEALTH NETWORK-INVESTMENT RELATED, 2350 NW 128TH ST., URBANDALE, IA 50323/ OPERATING OUT OF FREDERICK, MD 21702 REGISTERED INVESTMENT ADVISORY FIRM, FINANCIAL PROFESSIONAL, I AM THE INVESTMENT ADVISOR REPRESENTATIVE, I HELP MANAGE INVESTMENT ACCOUNTS FOR MY CLIENTS. I COMMUNICATE WITH THEM AND SPEND TIME WITH THEM., 120 HRS A MONTH, 4-6 HRS PER DAY DURING SECURITIES TRADING HOURS, 01/2018
CRS (Client Relationship Summary) - RIA
Click below to view Erik R Holt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2018 - Present
INDEPENDENT WEALTH NETWORK, INC.
RIA
CRD#: 286262
FREDERICK, MD
Current
January 30, 2024 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Frederick, MD
Past
January 2, 2018 - January 2, 2024
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
Frederick, MD
Past
May 6, 2008 - December 31, 2017
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
HAGERSTOWN, MD
Past
April 21, 2008 - December 31, 2017
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
HAGERSTOWN, MD
Past
March 21, 2005 - May 8, 2008
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FREDERICK, MD
Past
February 22, 2005 - May 8, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FREDERICK, MD
Past
October 14, 2004 - February 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FREDERICK, MD
Past
October 14, 2004 - February 3, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 15, 2004 - September 27, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
FREDERICK, MD
Past
June 1, 2004 - September 27, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/30/2024)
IAR
Colorado(1/14/2021)
RR
Colorado(1/30/2024)
IAR
Florida(3/30/2018)
RR
Florida(1/30/2024)
IAR
Georgia(2/7/2020)
RR
Georgia(1/30/2024)
IAR
Maryland(1/2/2018)
RR
Maryland(1/30/2024)
IAR
Michigan(1/8/2019)
IAR
New York(9/24/2025)
IAR
North Carolina(11/21/2024)
IAR
Pennsylvania(1/4/2019)
RR
Pennsylvania(1/30/2024)
IAR
Virginia(8/28/2024)
IAR
Washington(10/21/2021)
IAR
West Virginia(1/8/2019)
IAR
Wyoming(6/25/2020)
RR
Wyoming(4/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2350 Nw 128th St, Urbandale, IA 50323
Mailing Address
Phone number
(515) 461-5123
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,626 |
| AUM (Assets Under Management) | $ 422,577,169 |
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.
