Stephan W. Holden-corbett
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.
Stephan William Holden-corbett, who also goes by Stephan W Corbett, Stephan Holdencorb, Stephan Holden-corbett, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 2020. Stephan had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2021 - March 25, 2022
ALLY INVEST ADVISORS
June 23, 2021 - March 25, 2022
ALLY INVEST SECURITIES LLC
February 3, 2020 - June 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2020 - June 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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 7TO
Date: 1/3/2020
General Securities Representative ExaminationCurrent Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
Red Flags
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