Mark A. Holder
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 Andrew Holder was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2014. Mark had worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 17 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
March 8, 2021 - August 2, 2021
CITADEL SECURITIES LLC
October 16, 2014 - September 26, 2016
UBS SECURITIES LLC
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 57TO
Date: 3/8/2021
Securities Trader ExamSeries 55
Date: 2/5/2015
Limited Representative-Equity Trader ExamSeries 17
Date: 10/16/2014
Limited Registered Representative ExaminationCurrent Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
Red Flags
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