CH
Carl H. Holliday
THE BAKER GROUP, LP
Oklahoma City, OK 73116
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CRD#: 865075
CH
Professional summary
Carl Hayes Holliday is a registered financial advisor currently at THE BAKER GROUP, LP located in Oklahoma City, Oklahoma and PLAN GROUP FINANCIAL, INC. located in Oklahoma City, Oklahoma.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carl has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Hayes Holliday's 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®
NoneExperience
Current
June 23, 2022 - Present
THE BAKER GROUP, LP
Office #1: 6819 North Shartel Avenue, Oklahoma City, OK 73116Office #2: 1601 N W Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #3: 1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #4: 1601 N W Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #5: 1601 N W Expressway, Suite 2000, Oklahoma City, OK 73118RIA
BD
CRD#: 7888
Oklahoma City, OK
Current
August 5, 2024 - Present
PLAN GROUP FINANCIAL, INC.
Office #1: 6819 N. Shartel Avenue, Oklahoma City, OK 73116RIA
CRD#: 116508
Oklahoma City, OK
Current
April 27, 1979 - Present
THE BAKER GROUP, LP
Office #1: 6819 North Shartel Avenue, Oklahoma City, OK 73116Office #2: 1601 N W Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #3: 1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426Office #4: 1601 Nw Expressway 21st Floor, Oklahoma City, OK 73118-1426RIA
BD
CRD#: 7888
Oklahoma City, OK
Past
March 14, 1989 - December 30, 1990
COMMUNITY BANCBROKERAGE CORPORATION
BD
CRD#: 23582
Past
February 8, 1983 - November 3, 2017
THE BAKER GROUP, LP
RIA
CRD#: 7888
OKLAHOMA CITY, OK
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PG
PLAN GROUP FINANCIAL, INC.
BURNETT ADVISORS | PRZYBYSZ WEALTH MANAGEMENT | PLAN GROUP FINANCIAL, INC. | ONSTOTT & ASSOCIATES, INC. | OC&H CAPITAL MANAGEMENT | IRONHORSE WEALTH MANAGEMENT | FIT WEALTH ADVISORS
CRD#: 116508 / SEC#: 801-118599
RIA
Registered Investment Advisory firm - (4/30/2020 Approved)Oklahoma
Registered Investment Advisory firm - (6/10/2020 Terminated)Texas
Registered Investment Advisory firm - (6/10/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(10/19/2016)
IAR
Georgia(8/5/2024)
RR
Oklahoma(8/14/1982)
IAR
Oklahoma(6/23/2022)
RR
Texas(8/23/1983)
IAR
Texas(8/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/24/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PG
PLAN GROUP FINANCIAL, INC.
BURNETT ADVISORS | PRZYBYSZ WEALTH MANAGEMENT | PLAN GROUP FINANCIAL, INC. | ONSTOTT & ASSOCIATES, INC. | OC&H CAPITAL MANAGEMENT | IRONHORSE WEALTH MANAGEMENT | FIT WEALTH ADVISORS
CRD#: 116508 / SEC#: 801-118599
RIA
Registered Investment Advisory firm - (4/30/2020 Approved)Oklahoma
Registered Investment Advisory firm - (6/10/2020 Terminated)Texas
Registered Investment Advisory firm - (6/10/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 N.e. 82nd Street Suite 200, Oklahoma City, OK 73114
Mailing Address
Phone number
(405) 848-1099
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,693 |
| AUM (Assets Under Management) | $ 541,410,125 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
