Mark Holland
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 Holland, who also goes by Mark Jonathan Holand, Mark Holand, Mark Jonathan Holland, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2007. Mark had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 55 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
February 20, 2020 - December 31, 2020
NED DAVIS RESEARCH, INC.
May 12, 2016 - June 9, 2016
CHIMERA SECURITIES, LLC
March 5, 2013 - May 16, 2016
CLSA AMERICAS, LLC
July 20, 2010 - June 5, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
August 9, 2007 - February 27, 2009
TRILLIUM BROKERAGE SERVICES, LLC
Primary Firm SEC Registration
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
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 55
Date: 9/27/2007
Limited Representative-Equity Trader ExamCurrent Firm
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 248,514 |
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.
