James B. Holt
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 Byrne Holt, who also goes by Jim Holt, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 63, Series 7, Series 27 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
June 2, 1994 - July 15, 1994
BOSTON INSTITUTIONAL SERVICES INCORPORATED
April 1, 1993 - July 2, 1993
ITG EXECUTION SERVICES, INC.
December 10, 1985 - July 10, 1992
DESIGNATED RESEARCH INC.
November 22, 1983 - April 29, 1985
CAPIS
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
BOSTON INSTITUTIONAL SERVICES INCORPORATED
CRD#: 5861 / SEC#: , 8-16412
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE BISYS GROUP, INC. | DIRECT OWNER | |
| BLODGETT, DONALD WARD JR | PRESIDENT, TREASURER, AND FIN-OP | 2518907 |
| FORMAN, EDWARD S. | SECRETARY & DIRECTOR | 4071395 |
| FOX, JAMES LAWRENCE | DIRECTOR | 2679534 |
| LYNCH, BRIAN FRANCIS | CHIEF COMPLIANCE OFFICER | 3089016 |
| MACCUNE, JEFFREY EDWARD | VICE PRESIDENT | 1428971 |
| MOORE, ROBERT PATRICK | VICE PRESIDENT | 2046209 |
| TOMKO, WILLIAM JACOB | VICE PRESIDENT/NYSE MEMBER | 1672349 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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