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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Holley is a financial advisor who has been active in the industry since November 23, 1982. Currently, James Holley is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with them since July 21, 2006. Before joining Merrill Lynch, Pierce, Fenner & Smith Inc., James Holley was registered with A. G. EDWARDS & SONS, INC. from November 24, 1982 to July 27, 2006. James Holley holds licenses for Series 4, 7, 8, 9, 10, 15, 63 and SIE exams. James Holley is licensed to operate in 30 states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
07/21/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WACO TX)
TX
11/24/1982 - 07/27/2006
A. G. EDWARDS & SONS, INC. (WACO TX)
BC
Issued 12/01/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/25/1983
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 11/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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