Dershaun J. Holden
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.
Dershaun Jamar Holden, who also goes by Shaun Holden, Dershaun J Holden, Dershaun Holden, was a registered financial professional .
Dershaun is a previously registered financial professional and started their career in finance in 2013. Dershaun had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2023 - July 12, 2024
RAYMOND JAMES & ASSOCIATES, INC.
February 24, 2023 - July 12, 2024
RAYMOND JAMES & ASSOCIATES, INC.
October 2, 2020 - February 7, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 22, 2020 - February 7, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 11, 2020 - September 11, 2020
CETERA WEALTH SERVICES, LLC
March 10, 2020 - September 11, 2020
FIRST ALLIED SECURITIES, INC.
March 10, 2020 - September 11, 2020
CETERA INVESTMENT SERVICES LLC
March 10, 2020 - September 11, 2020
CETERA FINANCIAL SPECIALISTS LLC
March 10, 2020 - September 11, 2020
CETERA ADVISORS LLC
March 10, 2020 - September 11, 2020
CETERA WEALTH SERVICES, LLC
February 16, 2018 - March 2, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 19, 2016 - March 2, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 21, 2013 - April 20, 2016
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
