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Detailed Report
WINIFRED STEPHENS HOLZWARTH
Winifred Stephens Holzwarth, Winifred Holzwarth
CRD#: 7226714
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 5905 LEGACY DRIVE
SUITE A100
PLANO, TX 75024
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 5905 LEGACY DRIVE
SUITE A100
PLANO, TX 75024
Registration History
20202021202220232024202520262 FIRMS2020 - 2023 (3 years)2 FIRMS2024 - Present (1 year)
License(s)

State Registrations

B
Arkansas 1/4/2025
B
New York 3/7/2024
B
California 1/4/2025
B
North Carolina 1/4/2025
B
Colorado 1/4/2025
B
Ohio 3/8/2024
B
Delaware 1/10/2024
B
Oklahoma 1/4/2025
B
District of Columbia 3/7/2024
B
Pennsylvania 1/10/2024
B
Florida 1/10/2024
B
South Carolina 1/4/2025
B
Illinois 1/4/2025
B
Tennessee 1/4/2025
B
Indiana 1/4/2025
B
Texas 7/12/2024
B
Louisiana 1/4/2025
IA
Texas 8/13/2024
B
Maryland 1/10/2024
B
Virginia 3/7/2024
B
Michigan 3/7/2024
B
Washington 3/7/2024
B
Minnesota 1/4/2025
B
Wisconsin 1/4/2025
B
New Mexico 1/4/2025

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
5905 LEGACY DRIVE SUITE A100, PLANO, TX 75024
Registered with this firm since 3/8/2024
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
5905 LEGACY DRIVE SUITE A100, PLANO, TX 75024
DALLAS, TX
Registered with this firm since 1/10/2024
Previous Registration(s)
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IA
 06/12/2020 - 12/04/2023 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Hunt Valley, MD
B
 02/21/2020 - 12/04/2023 PRUCO SECURITIES, LLC. (CRD#:5685) Hunt Valley, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.