Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Holloway is a financial advisor registered with Wells Fargo Clearing Services, LLC. James has been in the financial industry since November 24, 1987. James is a Certified Financial Planner and has a strong track record of providing clients with personalized financial advice. James is dedicated to helping clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
FL
03/01/2011 - Present
Wells Fargo Clearing Services, LLC (FORT LAUDERDALE FL)
FL
10/23/2009 - 03/01/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
FL
05/16/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FORT LAUDERDALE FL)
MO
06/19/2000 - 05/31/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
03/03/1994 - 06/29/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
03/20/1989 - 03/08/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
11/25/1987 - 03/30/1989
PAINEWEBBER INCORPORATED
BOTH
Issued 08/06/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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