Wistar W. Holt
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.
Wistar White Holt SR, who also goes by Wis Holt, Wistar Holt, was a registered financial professional .
Wistar is a previously registered financial professional and started their career in finance in 1980. Wistar had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2002 - December 31, 2013
HOLT & SHAPARD CAPITAL MANAGEMENT, LLC
May 14, 2001 - January 18, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 13, 1993 - May 24, 2001
UBS FINANCIAL SERVICES INC.
February 19, 1991 - July 27, 1993
LEHMAN BROTHERS INC.
December 22, 1980 - February 26, 1991
CITIGROUP GLOBAL MARKETS 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 8
Date: 7/29/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HOLT & SHAPARD CAPITAL MANAGEMENT, LLC
CRD#: 119326 / SEC#: 801-60957
Contact information
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.
