Nathan J. Holtslander
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.
Nathan John Holtslander, who also goes by Nate Holtslander, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2004. Nathan had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 53 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
March 11, 2022 - November 2, 2023
ASSOCIATED INVESTMENT SERVICES, INC.
February 7, 2017 - March 19, 2018
NATIONAL PLANNING CORPORATION
February 7, 2017 - March 19, 2018
INVEST FINANCIAL CORPORATION
April 21, 2015 - March 19, 2018
SII INVESTMENTS, INC.
April 21, 2015 - March 19, 2018
INVESTMENT CENTERS OF AMERICA, INC.
April 21, 2015 - March 19, 2018
SII INVESTMENTS, INC.
April 21, 2015 - March 19, 2018
INVESTMENT CENTERS OF AMERICA, INC.
January 26, 2009 - April 22, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
January 19, 2006 - April 22, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
August 31, 2004 - September 21, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
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 7TO
Date: 3/11/2022
General Securities Representative ExaminationCurrent Firm
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,422 |
| AUM (Assets Under Management) | $ 1,169,239,099 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 |
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.
