James E. Holliday
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edwin Holliday, who also goes by Ed Holliday, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 13 firms and has passed the Series 65, Series 63, Series 3 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - September 14, 2016
L & S ADVISORS, INC
July 15, 2010 - July 24, 2012
C.K. COOPER & COMPANY, INC.
October 13, 2009 - July 8, 2010
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
March 6, 2009 - October 8, 2009
ETF PORTFOLIO MANAGEMENT LLC
January 7, 1998 - October 2, 2008
CAMPBELL FINANCIAL SERVICES, LLC
September 1, 1994 - February 28, 1997
ATEL SECURITIES CORPORATION
May 11, 1989 - August 9, 1993
ATEL SECURITIES CORPORATION
August 22, 1988 - November 22, 1988
CAMERON, MURPHY & SPANGLER, INC.
September 9, 1987 - July 15, 1988
AMERITRUST EQUITIES, INC.
February 22, 1987 - August 20, 1988
CION SECURITIES, LLC
April 25, 1986 - February 4, 1987
MCCRACKEN PARTNERS, INC.
August 17, 1985 - January 14, 1986
VICORP SECURITIES, INC.
August 15, 1983 - June 27, 1985
STONEHENGE SECURITIES CORPORATION
November 19, 1981 - April 1, 1982
AMERICAN WESTERN SECURITIES, INC.
Primary Firm SEC Registration
L & S ADVISORS, INC
CRD#: 140923 / SEC#: 801-66849
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
L & S ADVISORS, INC
CRD#: 140923 / SEC#: 801-66849
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,691 |
| AUM (Assets Under Management) | $ 1,052,549,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
