Brad Holts Suspended By FINRA, Fired by World Capital Brokerage
Brad Holts (CRD #: 5819398), a former broker, is the subject of a FINRA suspension, according to his BrokerCheck record, accessed on September 22, 2021. This followed is termination from World Capital Brokerage. Keep reading for more details.
On July 28, 2021, FINRA alleged that Brad Holts failed to respond to a FINRA request for information. As a result, FINRA imposed a suspension to begin on August 23, 2021. FINRA Rule 8210 states that brokers must provide information requested by FINRA. If he does not provide the requested information within three months, the suspension will convert to a bar on November 1, 2021.
There is a related employment separation following allegations. On July 15, 2021, World Capital Brokerage fired Brad Holts. World Capital Brokerage alleged that Brad Holts failed to cooperate with a FINRA request, which goes against their supervisory procedures.
Brad Holts Background Information
Brad Holts has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Brad Holts has registered with the following firms:
- World Capital Brokerage (CRD #: 37)
- Supreme Alliance (CRD #: 45348)
- Capital One Investing (CRD #: 45744)
- Capital One Investment Services (CRD #: 25658)
- Edward Jones (CRD #: 250)
Kurta Law Can Help
If you worked with Brad Holts and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.