Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Holly? Claim Your ProfileHolly Ashby is a financial advisor with over 24 years of experience in the industry. Holly is currently registered with Raymond James & Associates, Inc. and has been with the firm since February 2013. Holly is also registered with the state of Texas as an investment advisor representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
09/23/2022 - Present
Raymond James & Associates, Inc. (RALEIGH NC)
NC
12/24/1998 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (RALEIGH NC)
BOTH
Issued 11/25/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/22/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 12/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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