Articles Tagged with Alan Holt

Alan Holt

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2018 indicate that California-based Ameriprise Financial Services broker/adviser Alan Holt has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Holt (CRD# 1497129).

Alan Holt has spent 32 years in the securities industry and has been registered with Ameriprise Financial Services in San Diego, California since 2009. Previous registrations include Ameriprise Financial Services in San Diego, California (2009); Citigroup Global Markets in Carlsbad, California (2002-2009); and Morgan Stanley DW in Purchase, New York (1986-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 20, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 30, 1986; Series 3 (National Commodity Futures Examination), which he obtained on March 16, 1989; and Series 7 (General Securities Representative Examination), which he obtained on May 17, 1986. He is a registered broker and investment adviser with eleven US states and territories: Arizona, California, Colorado, Hawaii, Illinois, Minnesota, Missouri, Nevada, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two denied customer complaints.

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