Tim F. Holderbaum
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.
Tim Fritz Holderbaum was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 2005. Tim had worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2014 - May 20, 2014
DPEC CAPITAL, INC.
June 27, 2005 - May 15, 2014
DPEC CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DPEC CAPITAL, INC.
CRD#: 103737 / SEC#: , 8-52230
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
