Stephen A. Holty
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.
Stephen Allen Holty, who also goes by Stephen A Holty, Steve Holty, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1977. Stephen had worked at 9 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
January 10, 2002 - January 5, 2016
CHOREO, LLC
December 13, 2000 - July 17, 2012
BIRCHTREE FINANCIAL SERVICES LLC
July 12, 1999 - November 17, 2000
WELLS FARGO SECURITIES INC.
November 17, 1997 - July 12, 1999
ARK FUNDS DISTRIBUTORS, LLC
January 25, 1993 - April 25, 1996
VOYA FINANCIAL ADVISORS, INC.
January 17, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 17, 1982 - January 18, 1993
IDS LIFE INSURANCE COMPANY
January 17, 1982 - January 18, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 1977 - January 17, 1982
FBL MARKETING SERVICES, LLC
Primary Firm SEC Registration
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
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: 3/17/1977
Registered Representative ExaminationCurrent Firm
CHOREO, LLC
CRD#: 111221 / SEC#: 801-57236
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,137 |
| AUM (Assets Under Management) | $ 18,232,358,701 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 11/12/2024 | ||
| 12/20/2023 | ||
| 11/30/2022 |
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.
