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Carl Holly

Vanderbilt Advisory Services
34 Years of Experience
Henderson, NV
4 DisclosuresBroker
View SEC Summary
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Carl Holly is a registered investment advisor at Vanderbilt Advisory Services, based in Henderson, NV, with 34 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 6,470 clients with $2.1B in assets under management.

Vanderbilt Advisory Services
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
166 advisors
Number of Clients
6,470 clients
Average Client Portfolio
$326K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$90
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.50%
$100K - $250K2.25%
$250K - $500K2.00%
$500K - $1.0M1.75%
$1.0M - $2.0M1.50%
$2.0M - $5.0M1.25%
$5.0M - $10.0M1.00%
$10M+0.75%

Firm also offers threshold billing, flat percentage, and flat annual fee structures. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Henderson, NV

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Settled
Customer Dispute
January 2002
Settled
Customer Dispute
June 1996
Settled
Customer Dispute
May 1995
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carl is the President of CJH International Inc. since 2004, primarily using it to deposit paychecks from Vanderbilt Securities once a month, requiring minimal time.

Employment History
Current Registrations
Vanderbilt Advisory Services
May 2016 - Present · 10 yrs 5 mos
Vanderbilt Securities, LLCBroker
April 2002 - Present · 24 yrs 6 mos
Previous Registrations
Prime Capital Services, INC.Broker
March 2000 - January 2002 · 1 yr 10 mos
New Times Securities Services, INC.Broker
September 1996 - February 2000 · 3 yrs 5 mos
Prudential Securities IncorporatedBroker
June 1995 - August 1996 · 1 yr 2 mos
Kirlin Securities INC.Broker
November 1992 - June 1995 · 2 yrs 7 mos
Mclaughlin, Piven, Vogel Securities, INC.Broker
January 1992 - July 1992 · 6 mos
State Registrations6 states
DCLANJNVNYPA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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