James E. Holzer
Professional summary
James Edward Holzer is a registered financial professional currently at DRAKE STAR SECURITIES LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edward Holzer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2013 - Present
DRAKE STAR SECURITIES LLC
Office #1: 950 Third Avenue 20th Floor, New York, NY 10022May 22, 2000 - November 9, 2001
CIBC WORLD MARKETS CORP.
October 15, 1997 - May 4, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1996 - September 10, 1997
HOULIHAN LOKEY CAPITAL, INC.
July 23, 1985 - December 16, 1987
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2013)
Exams
FINRA
Current Firm
DRAKE STAR SECURITIES LLC
CRD#: 131338 / SEC#: , 8-66448
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
