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HS

Holly M. Snider

CAPLIGHT MARKETS LLC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 7855694
HS

Professional summary

Holly Marie Snider is a registered financial professional currently at CAPLIGHT MARKETS LLC located in San Francisco, California.

Holly is registered as a RR (Registered Representative) and started their career in finance in 2024. Holly has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Holly Marie Snider'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

February 23, 2024 - Present

CAPLIGHT MARKETS LLC

Office #1: 531 Howard Street 4th Floor, San Francisco, CA 94105
BD
CRD#: 103970
San Francisco, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 2/17/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPLIGHT MARKETS LLC
CAPLIGHT MARKETS LLC | PROSPERO CAPITAL LLC

CRD#: 103970 / SEC#: , 8-52440

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Mailing Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Phone number
(917) 456-2371
Established
Connecticut since 01/14/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPLIGHT TECHNOLOGIESOWNER
AVALOS, JAVIER CHRISTIANCEO5836369
CHUNG, MICHAEL NMNFINOP, PFO, POO5739877
STEINBERG, MICHAEL NMNCCO1062776

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

CAPLIGHT MARKETS LLC

CRD#: 103970San Francisco, CA 94105

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