Robert Holland (CRD #: 1962105), a broker registered with Stifel, Nicolaus & Company, is involved in an investor dispute, according to his BrokerCheck record, accessed on January 29, 2021. If you are interested in Holland’s conduct as a broker, keep reading.

Robert Holland: Allegations that he breached his fiduciary duty.

On November 27, 2020, an investor alleged that Robert Holland engaged in negligence and breached his fiduciary duty. (Not sure if your financial advisor is a fiduciary? Read this article to find out.) The investor is seeking $200,000; the dispute is pending.

Robert Holland has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 20 stated and a registered investment adviser in Montana.

During his 31 years of experience in the securities industry, Holland has worked at the following firms:

  • Stifel, Nicolaus & Company (CRD #: 793)
  • UBS Financial Services (CRD #: 8174)

If Robert Holland was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment