Mark A. Holthaus
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.
Mark A Holthaus, who also goes by Mark Anders Holthaus, Mark Holthaus, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 7 firms and has passed the Series 63, Series 66, Series 6TO, 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
August 16, 2021 - June 7, 2023
NYLIFE SECURITIES LLC
September 17, 2015 - October 2, 2015
INTERACTIVE FINANCIAL ADVISORS
February 4, 2015 - September 8, 2015
INTERACTIVE FINANCIAL ADVISORS
February 3, 2015 - October 14, 2015
BROOKLIGHT PLACE SECURITIES, INC.
July 30, 2014 - November 10, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
January 9, 2014 - November 10, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
April 16, 2009 - November 19, 2013
MID-ATLANTIC SECURITIES, INC.
April 15, 2009 - November 19, 2013
MID-ATLANTIC SECURITIES, INC.
January 1, 2008 - April 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 17, 2005 - January 3, 2008
A. G. EDWARDS & SONS, 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 6TO
Date: 8/16/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
