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Bambi Iris Holzer

Bambi Iris Holzer
Other Names: Bambi Iris Schatz, Bambi Schatz
Firm:
Newport Coast Securities, Inc.
Type: Dual Registration
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Description

Bambi Holzer a financial professional at Newport Coast Securities, Inc., a broker-dealer with 141 registered representatives nationwide. Bambi has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Bambi Iris Holzer has not answered any questions on Financial Q&A.

Top Guides

Bambi Iris Holzer has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Newport Coast Securities, Inc. 2 years, 2 months Mar 2011 - Present
Sequoia Equities Securities Corporation 1 month Mar 2010 - Apr 2010
Webush Morgan Securities 3 years, 9 months Jun 2007 - Mar 2011
Brookstreet Securities 3 years, 8 months Oct 2003 - Jun 2007
A.G. Edwards & Sons, Inc. 2 years, 1 month Sep 2001 - Oct 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/19/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

55 Customer Disputes

7 Customer Disputes Pending

1 Termination

1 Final Judgment

2 Regulatory Events

1 Regulatory Event Pending
As of Date
09/19/2012
09/25/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 04/28/1997
Uniform Securities Agent State Law Examination Series 63 06/17/1983
General Securities Representative Examination Series 7 04/16/1983

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: OTHER FEES