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 Raymond James & Associates, Inc. He has over 15 years of experience in the financial services industry. James is a Series 7 and Series 63 licensed representative and holds the Series 65 license as well. He has been registered with the Securities and Exchange Commission (SEC) since 2006. James has previously worked for Securian Financial Services, Inc. and Chicago Analytic Trading Company, LLC. He specializes in portfolio management for individuals and businesses. James also provides financial planning services. He is committed to providing his clients with personalized financial advice and strategies that meet their individual needs.
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
AL
10/20/2020 - Present
Raymond James & Associates, Inc. (BIRMINGHAM AL)
AL
08/03/2018 - 10/23/2020
SECURIAN FINANCIAL SERVICES, INC. (Birmingham AL)
AL
03/01/2018 - 07/30/2018
CHICAGO ANALYTIC TRADING COMPANY, LLC (VESTAVIA HILLS AL)
AL
06/01/2015 - 06/17/2016
BREAN CAPITAL, LLC (BIRMINGHAM AL)
AL
04/22/2014 - 06/02/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BIRMINGHAM AL)
AL
05/05/2006 - 04/24/2014
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
IA
Issued 09/19/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2006
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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