Holly C. Hemwall
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.
Holly C. Hemwall, who also goes by Holly C. Nanos, Holly C Nanos, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 2010. Holly had worked at 3 firms and has passed the Series 66, 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
June 17, 2016 - August 13, 2019
ROMANO BROTHERS AND COMPANY
December 10, 2013 - August 13, 2019
ROMANO BROTHERS AND COMPANY
January 13, 2012 - October 23, 2013
GOLDMAN SACHS WEALTH SERVICES, L.P.
November 9, 2010 - October 23, 2013
MERCER ALLIED COMPANY, L.P.
Primary Firm SEC Registration
ROMANO BROTHERS AND COMPANY
CRD#: 3215 / SEC#: 801-27061, 8-14213
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
Current Firm
ROMANO BROTHERS AND COMPANY
CRD#: 3215 / SEC#: 801-27061, 8-14213
Contact information
SEC notice filing (26 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 1,388,470,813 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/31/2023 |
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.
