Eric Holt Location
- Dallas, TX, US
Eric Holt Work
- 2014 - now Chief Compliance Officer @
- 2014 - now Chief Compliance Officer - NexPoint Securities, Inc. @
- 2013 - 2014 Managing Member @ RGH Compliance Solutions, LLC
- 2011 - 2013 Chief Compliance Officer @
- 2001 - 2011 Chief Compliance Officer @
- 1999 - 2001 Compliance Examiner @
- 1997 - 1999 Compliance Examiner @ HD Vest
Eric Holt Education
- Baylor University - Hankamer School of Business
BBA (Marketing)
1987 - 1991
Eric Holt Skills
- Securities
- FINRA
- Compliance
- Financial Risk
- AML
- Fixed Income
- Capital Markets
- Equity Trading
- Alternative Investments
- Mutual Funds
- Equities
- Asset Management
- Bloomberg
- Investments
- Series 7
- Corporate Governance
- Series 63
- Hedge Funds
- Trading
- Investment Management
- Options
- Investment Advisory
- ETFs
- Series 24
- Uniform Combined State Law
- Financial Services
- Risk Management
- Finance
- Management
- Anti Money Laundering
- Capital Management
- Dealers
Eric Holt Summary
- Eric Holt, based in Dallas, TX, US, is currently a Chief Compliance Officer at NexBank Securities. Eric Holt brings experience from previous roles at NexPoint, RGH Compliance Solutions, LLC, First Southwest Company and Capital Institutional Services. Eric Holt holds a 1987 - 1991 BBA in Marketing @ Baylor University - Hankamer School of Business. With a robust skill set that includes Securities, FINRA, Compliance, Financial Risk, AML and more. Eric Holt has 3 emails and 3 mobile phone numbers on RocketReach.
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