Carl Holliday has been an investment adviser representative at Plan Group Financial since August 2024, and is not listed among the firm’s executive officers or direct owners.
Plan Group Financial, Inc. is an Oklahoma City, OK firm with $690M under management, 1,221 clients and 17 advisers across 9 offices, as of its October 2026 filing.
Carl Holliday’s longest registration is the current one, 47 years at The Baker Group, LP since 1979.
- Plan Group Financial, Inc.Current– present · 2 yearsOklahoma City, OK · Adviser representative · Firm CRD 116508
- The Baker Group, LPAlso current– present · 47 yearsAdviser representative and broker · Firm CRD 7888
Investment adviser representative registrations
Carl Holliday is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 2022; the most recent are Georgia and Texas, in August 2024.
- GeorgiaSince 5 August 2024
- OklahomaSince 23 June 2022
- TexasResidentSince 5 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 24 January 2023 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 June 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 23 November 1982 |
| Series 24 | General Securities Principal Examination | 16 November 1982 |
| Series 7 | General Securities Representative Examination | 20 June 1981 |
| Series 53 | Municipal Securities Principal Examination | 10 March 1980 |
| Series 52 | Municipal Securities Representative Examination | 20 November 1978 |
- Name
- Municipal Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Full name
- Carl Hayes Holliday
- CRD
- 865075
- Firm
- Plan Group Financial · CRD 116508
- Office
- 6819 N. Shartel Avenue, Oklahoma City, OK 73116
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1979
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Carl Holliday work?
Carl Holliday is an investment adviser representative registered through Plan Group Financial, Inc. since August 2024, and is not listed among the firm’s executive officers or direct owners.
Is Carl Holliday a financial advisor?
Yes. Carl Holliday has a current investment-adviser registration in Georgia, Oklahoma and Texas, through Plan Group Financial since August 2024.
How many years of experience does Carl Holliday have?
Carl Holliday has 47 years in the financial industry, since April 1979, across 2 adviser firms.
What exams has Carl Holliday passed?
Carl Holliday has passed 7 licensing exams: the Series 52, Series 53, Series 7, Series 24, Series 63, Series 65 and Series 52TO. The earliest, the Series 52, was passed in November 1978. FINRA credited Carl Holliday with the SIE, which began in October 2018.
Where is Carl Holliday based?
Carl Holliday’s registered office is in Oklahoma City, OK.
Is Carl Holliday registered with FINRA?
Yes. Carl Holliday has a current broker registration, under CRD 865075.
Source: FINRA BrokerCheck
How can I verify Carl Holliday’s record?
Search CRD 865075 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Carl Holliday’s full registration record.