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Barbara Hollis

Holistic Planners
25 Years of Experience
Waldorf, MD
2 DisclosuresSells Insurance
View SEC Summary
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Barbara Hollis is a registered investment advisor at Holistic Planners, based in Waldorf, MD, with 25 years of industry experience. Barbara operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 51 clients with $14M in assets under management.

Holistic Planners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
51 clients
Average Client Portfolio
$281K average
Assets Under Management
$14.4M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.25%
$250K - $500K1.10%
$500K - $1.0M0.90%
$1M+0.60%

Annual fee may be negotiable. Accounts within the same household may be combined for a reduced fee.

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

Location

Waldorf, MD

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History

Regulatory History (2)
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.
Financial
July 2019
Final
Customer Dispute
June 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Barbara is the owner/consultant/insurance agent for Hollis & Shingler Financial Coaching Essentials, L.L.C., where she prepares taxes and sells life insurance and fixed products, dedicating about half their time to this practice. She is also a sole proprietor insurance agent providing insurance sales and services since 2020.

Employment History
Current Registrations
Holistic Planners
February 2024 - Present · 2 yrs 3 mos
Previous Registrations
Archer Investment Corporation
November 2020 - December 2023 · 3 yrs 1 mo
Thrivent Investment Management INC.
August 2017 - July 2020 · 2 yrs 11 mos
Thrivent Investment Management INC.Broker
March 2013 - July 2020 · 7 yrs 4 mos
H.D. Vest Investment ServicesBroker
January 2009 - September 2012 · 3 yrs 8 mos
National Planning CorporationBroker
February 2007 - December 2008 · 1 yr 10 mos
National Planning Corporation ("npc of America" in Fl & Ny)
February 2007 - December 2008 · 1 yr 10 mos
Ameriprise Financial Services, INC.
September 2004 - January 2007 · 2 yrs 4 mos
Ameriprise Financial Services, INC.Broker
September 2004 - January 2007 · 2 yrs 4 mos
Ids Life Insurance CompanyBroker
September 2004 - July 2006 · 1 yr 10 mos
National Planning CorporationBroker
June 2004 - September 2004 · 3 mos
Nylife Securities INC.Broker
February 1996 - January 1997 · 11 mos
Transamerica Financial Resources, INC.Broker
November 1995 - February 1996 · 3 mos
Commonwealth Church Finance, INC.Broker
February 1993 - December 1995 · 2 yrs 10 mos
United International Securities, INC.Broker
February 1992 - December 1992 · 10 mos
State Registrations1 state
MD
Advisor

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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