Brock A. Von Holt

VON HOLT FINANCIAL ADVISORS

Palatine, IL 60067

Some features on this profile are disabled

CRD#: 6975372

Professional summary

Brock Aaron Von Holt, CFP® is a registered financial advisor currently at VON HOLT FINANCIAL ADVISORS, INC. located in Palatine, Illinois.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Brock has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Aaron Von Holt's 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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

August 17, 2018 - Present

VON HOLT FINANCIAL ADVISORS, INC.

Office #1: 50 N. Brockway Street Suite 4-5, Palatine, IL 60067

RIA

CRD#: 115050

Palatine, IL

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

Illinois
(8/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/17/2018

Uniform Investment Adviser Law Examination

Current Firm

VON HOLT FINANCIAL ADVISORS, INC.

CRD#: 115050 / SEC#: 801-60925

RIA

Registered Investment Advisory firm - (5/2/2011 Terminated)

Illinois

Registered Investment Advisory firm - (2/14/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

50 N. Brockway Street Suite 4-5, Palatine, IL 60067

Mailing Address

Phone number

(847) 991-6050

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	131
AUM (Assets Under Management)	$ 100,400,000

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Jason Erickson

VAN AKE CAPITAL LLC

IAR

WINNETKA, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brock A. Von Holt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Aaron Von Holt's CRS (Customer Relationship Summary).

Certified licenses

Experience

VON HOLT FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/17/2018

Current Firm

VON HOLT FINANCIAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VON HOLT FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors