Kevin P. Holbert

SPIDERROCK EXS

Chicago, IL 60606

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CRD#: 5189403

Professional summary

Kevin Patrick Holbert, who also goes by Kevin Holbert, is a registered financial professional currently at SPIDERROCK EXS, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2006. Kevin has worked at 5 firms and has passed the Series 63, SIE, Series 57, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Holbert

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Holbert'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®

None

Experience

Current

April 27, 2020 - Present

SPIDERROCK EXS, LLC

Office #1: 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606Office #2: 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606

CRD#: 148743

Chicago, IL

Past

May 23, 2016 - February 24, 2020

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NORWALK, CT

Past

January 6, 2014 - April 11, 2016

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

STAMFORD, CT

Past

May 13, 2009 - January 2, 2014

WOODLAWN ADVISORS LLC

CRD#: 148937

STAMFORD, CT

Past

September 15, 2006 - December 31, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/9/2024)

Colorado
(2/9/2024)

Connecticut
(4/27/2020)

Delaware
(2/9/2024)

District of Columbia
(2/9/2024)

Florida
(2/9/2024)

Georgia
(2/9/2024)

Illinois
(4/27/2020)

Iowa
(2/9/2024)

Maryland
(2/9/2024)

Massachusetts
(2/9/2024)

Minnesota
(2/9/2024)

Nevada
(2/9/2024)

New Jersey
(2/9/2024)

New York
(2/9/2024)

North Carolina
(2/9/2024)

Ohio
(2/9/2024)

Pennsylvania
(2/9/2024)

Texas
(2/9/2024)

Virginia
(2/9/2024)

West Virginia
(2/9/2024)

Exams

State Security Law Exam

Series 63

Date: 8/31/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 6/28/2017

Securities Trader Exam

General Industry/Product Exam

Series 3

Date: 8/6/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2012

General Securities Principal Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

SPIDERROCK EXS, LLC

CRD#: 148743 / SEC#: , 8-68062

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

300 S. Riverside Plaza Suite 2350, Chicago, IL 60606

Mailing Address

300 S. Riverside Plaza Suite 2350, Chicago, IL 60606

Phone number

(312) 256-9605

Established

Illinois since 07/30/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SPIDERROCK TECHNOLOGY SOLUTIONS, LLC	HOLDING COMPANY
JONES, KARL JOSEPH	CHIEF COMPLIANCE OFFICER, AML OFFICER, POO	4572443
MORTON, CHARMAINE DONNA	CFO, FINOP, PFO	5874879
PAPA, GEORGE ORSON	CEO	2595217
RASCHKE, ERIK EDWARD	ROP	4485577

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kevin P. Holbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Holbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

ROBERT W. BAIRD & CO. INCORPORATED

WOODLAWN ADVISORS LLC

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/2006

SIE

Date: 10/1/2018

Series 57

Date: 6/28/2017

Series 3

Date: 8/6/2007

Series 7

Date: 9/14/2006

Series 24

Date: 3/8/2012

Cboe Exchange, Inc.

FINRA

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

SPIDERROCK EXS, LLC

Contact information

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPIDERROCK EXS, LLC

TRUST BUT VERIFY

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