Paul HolbrookCRD Number: 1173817
Current Firm: Navigate Private Wealth, LLC
Paul Holbrook (CRD# 1173817) is an Investment Advisor Representative working at Navigate Private Wealth, LLC in Draper, UT and has over 32 years of experience in the finance industry. Paul Holbrook has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Uma Financial Services Inc.
|Allegis Investment Services||Draper, UT||Jul 2016 - Current||1|
|Navigate Private Wealth LLC||Draper, UT||May 2014 - Current||3|
|Mutual Securities, Inc.||Camarillo, CA||May 2014 - Jul 2016||2|
|American Express Financial Advisors Inc.||Midvale, UT||Dec 1987 - May 2014||26|
|Ids Life Insurance Company||Minneapolis, MN||Dec 1987 - May 2014||26|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1985|
|S65||NASAA Investment Advisors Law Examination||Jan 1994|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management260MILLIONS
Total Number of Accounts1,996ACCOUNTS
Average Account Value$130,123
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, FL, ID, NH, NV, OR, SC, TX, UT, WA
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