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HG

Holly L. Gennings

ALIGHT FINANCIAL ADVISORS
Rock Hill, SC
Some features on this profile are disabled
CRD#: 6635246
HG

Professional summary

Holly Laraine Gennings, who also goes by Holly L Gennings, Holly Gennings, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Rock Hill, South Carolina.

Holly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Holly has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Holly L Gennings | Holly Gennings

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.
Holly Gennings, Sole Proprietor and Golden Buffalo Nickel LLC; Investment Related; Fredericksburg, TX; Insurance Agent; Fixed Insurance Sales; Approximately 40 hours per month spent; 0 hours spent during trading hours; Started 10/2017.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holly Laraine Gennings's CRS (Customer Relationship Summary).
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

June 11, 2024 - Present

ALIGHT FINANCIAL ADVISORS, LLC

RIA
CRD#: 158744
Rock Hill, SC
Past

July 7, 2020 - November 18, 2024

ABW, LLC

RIA
CRD#: 309104
Fredericksburg, TX
Past

September 25, 2019 - December 16, 2020

CRG WEALTH, LLC

RIA
CRD#: 300615
LAS VEGAS, NV
Past

November 7, 2016 - October 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

August 4, 2016 - October 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA
Registered Investment Advisory firm - (9/13/2011 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
North Carolina
(6/11/2024)
IAR
South Carolina
(6/13/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/3/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/3/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2016
General Securities Representative Examination

Current Firm

AF
ALIGHT FINANCIAL ADVISORS, LLC
ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA
Registered Investment Advisory firm - (9/13/2011 Approved)
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Contact information

Main Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Mailing Address
Phone number
(866) 560-7256
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)
AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts197,089
AUM (Assets Under Management)$ 30,882,928,556

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.

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

CRD#: 158744Rock Hill, SC

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