Stephen R. Holt
Professional summary
Stephen Randall Holt is a registered financial professional currently at LIGHTHOUSE CAPITAL GROUP, LLC located in Pasadena, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Randall Holt's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2014 - Present
LIGHTHOUSE CAPITAL GROUP, LLC
Office #1: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Office #2: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106September 8, 2011 - June 24, 2014
SANDLAPPER SECURITIES, LLC
May 17, 2011 - September 7, 2011
NELSONREID, INC.
April 8, 2011 - May 18, 2011
STEVEN L. FALK & ASSOCIATES 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
(7/3/2014)
(11/12/2021)
(11/20/2024)
(8/7/2014)
(9/15/2022)
(12/21/2020)
(1/5/2022)
(10/21/2020)
(4/20/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LIGHTHOUSE CAPITAL GROUP, LLC
CRD#: 169135 / SEC#: , 8-69350
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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