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MARK DAVID HOLT
MARK DAVID HOLTHUSEN
CRD#: 3150622
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The SEC has suspended this individual from engaging in certain acitivities. Please see the detailed report for more information
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2005200620072008200920102011201220132014201520162017IAHARBOUR INVESTMENTS, INC. (CRD# 19258)2012 - 2013 (<1 year)IAGENEOS WEALTH MANAGEMENT, INC. (CRD# 120894)2005 - 2007 (1 year)
Disclosure(s)
View By:
11/17/2016
Regulatory
Final
2/2/2016
Regulatory
Final
4/6/2015
Customer Dispute
Award / Judgment
4/9/2014
Customer Dispute
Award / Judgment
2/19/2014
Criminal
Final Disposition
1/17/2014
Regulatory
Final
10/13/2006
Regulatory
Final
Previous Registration(s)
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12/11/2012 - 11/08/2013 HARBOUR INVESTMENTS, INC. (CRD#:19258) NORTH OAKS, MN
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08/31/2005 - 02/21/2007 GENEOS WEALTH MANAGEMENT, INC. (CRD#:120894) SHOREVIEW, MN
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.