Barry Holt

Manager of Regulatory Principal and Operations Surveillance

Barry Holt is the manager of the Regulatory Principal and Operations Surveillance departments at 1st Global, where he oversees these two teams that compose the sales supervision division of the company. He began his career at 1st Global in 2014 and previously served as a consultant and interim manager in the Regulatory Principal Department prior to stepping into his managerial role. He enjoys being able to lead teams that work together to find solutions that ultimately help advisors better serve their clients.

Barry received his Bachelor of Science degree from the University of North Texas and worked in insurance sales before entering the securities industry. He gained valuable experience in municipal underwriting on the fixed-income trading desk and in his role as a regional Office of Supervisory Jurisdiction (OSJ) manager prior to joining 1st Global. He appreciates that his current position allows him to generate effective outcomes that are based on outside-of-the-box ideas. He has passed his FINRA Series 7, 24, 53 and 63 exams as well as the Texas Life and Health Insurance exam.