Kenneth L. Holtzman
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.
Kenneth Lewis Holtzman was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1975. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - August 8, 2013
FORESTERS EQUITY SERVICES, INC.
May 28, 2004 - December 23, 2009
OSAIC WEALTH, INC.
March 13, 1991 - June 3, 2004
VOYA FINANCIAL ADVISORS, INC.
November 4, 1987 - March 5, 1991
EQUITABLE ADVISORS, LLC
October 9, 1987 - March 5, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 28, 1987 - October 9, 1987
MORISON SECURITIES, INC.
November 20, 1985 - March 5, 1991
EQUITABLE ADVISORS, LLC
October 20, 1980 - July 30, 1987
EQUITABLE ADVISORS, LLC
February 19, 1975 - July 13, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 2/13/1975
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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