James L. Holsted
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 Leon Holsted, who also goes by Jim Holsted, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2009 - January 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 26, 2009 - January 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2005 - February 17, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 7, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 17, 1998 - February 17, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 20, 1997 - January 23, 1998
SIGNAL SECURITIES, INC.
October 5, 1994 - November 16, 1995
MASTERS FINANCIAL GROUP, INC.
June 21, 1993 - August 24, 1994
VINING-SPARKS IBG, LLC
January 18, 1993 - June 11, 1993
MASTERS FINANCIAL GROUP, INC.
October 26, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
May 30, 1990 - December 9, 1991
LPL FINANCIAL LLC
April 6, 1984 - January 13, 1990
BRYAN, WORLEY & CO., INC.
December 21, 1982 - April 6, 1984
POWELL & SATTERFIELD, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
