John D. Holland
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.
John David Holland, who also goes by Dave Holland, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 9 firms and has passed the Series 55, Series 7, Series 4 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
November 25, 2009 - July 11, 2013
NTB FINANCIAL CORPORATION
March 15, 2006 - February 5, 2013
GVC CAPITAL LLC
November 26, 2001 - July 28, 2009
NTB FINANCIAL CORPORATION
May 20, 1999 - November 2, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
January 4, 1999 - March 3, 1999
JWGENESIS FINANCIAL GROUP, INC
December 7, 1998 - January 4, 1999
CHATFIELD DEAN & CO., INC.
February 22, 1994 - May 15, 1997
SCHNEIDER SECURITIES, INC.
May 24, 1991 - June 2, 1992
COMSTOCK TRADING CORP.
November 30, 1983 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 24, 1983 - November 18, 1983
BLINDER, ROBINSON & CO., INC.
January 19, 1980 - August 25, 1982
BLINDER, ROBINSON & CO., 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
Exams
Series 55
Date: 7/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
