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ERIK R HOLT
ERIC HOLT
CRD#: 4635271
IA
B
INDEPENDENT WEALTH NETWORK, INC.CRD#: 286262 Frederick, MD
EMERSON EQUITY LLCCRD#: 130032 Frederick, MD
0
Disclosures
20
Years of Experience
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State Registrations
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California 1/30/2024
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Michigan 1/8/2019
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Colorado 1/14/2021
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North Carolina 11/21/2024
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Colorado 1/30/2024
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Pennsylvania 1/4/2019
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Florida 3/30/2018
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Pennsylvania 1/30/2024
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Florida 1/30/2024
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Virginia 8/28/2024
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Georgia 2/7/2020
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Washington 10/21/2021
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Georgia 1/30/2024
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West Virginia 1/8/2019
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Maryland 1/2/2018
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Wyoming 6/25/2020
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Maryland 1/30/2024
SRO Registrations
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Registered with this firm since 1/2/2018
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/02/2018 - 01/02/2024 | Frederick, MD | |
IA | 05/06/2008 - 12/31/2017 | HAGERSTOWN, MD | |
B | 04/21/2008 - 12/31/2017 | HAGERSTOWN, MD | |
IA | 03/21/2005 - 05/08/2008 | FREDERICK, MD | |
B | 02/22/2005 - 05/08/2008 | FREDERICK, MD | |
IA | 10/14/2004 - 02/03/2005 | FREDERICK, MD | |
B | 10/14/2004 - 02/03/2005 | NEW YORK, NY | |
IA | 09/15/2004 - 09/27/2004 | FREDERICK, MD | |
B | 06/01/2004 - 09/27/2004 | PURCHASE, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.