James T. Holt

BOUSTEAD SECURITIES

Irvine, CA 92618

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CRD#: 1413944

Professional summary

James Thomas Holt, who also goes by Jim Holt, is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 25 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Holt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Holt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 27, 2026 - Present

BOUSTEAD SECURITIES, LLC

Office #1: 6 Venture Suite 395, Irvine, CA 92618

CRD#: 141391

Irvine, CA

Past

October 28, 2019 - November 30, 2023

CIM SECURITIES, LLC

CRD#: 120852

CENTENNIAL, CO

Past

January 19, 2017 - October 25, 2017

FDX CAPITAL LLC

CRD#: 119302

Greenwood Village, CO

Past

January 8, 2016 - December 31, 2016

EDI FINANCIAL, INC.

CRD#: 15699

IRVING, TX

Past

March 19, 2015 - May 20, 2015

MVP AMERICAN SECURITIES

CRD#: 118286

LAS VEGAS, NV

Past

June 11, 2014 - March 5, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

July 1, 2013 - May 8, 2014

SELECT CAPITAL CORPORATION

CRD#: 145997

PLANO, TX

Past

September 4, 2012 - March 11, 2013

CABOT LODGE SECURITIES LLC

CRD#: 159712

SCHAUMBURG, IL

Past

April 12, 2012 - August 2, 2012

CABIN SECURITIES, INC.

CRD#: 137608

OVERLAND PARK, KS

Past

May 25, 2010 - April 4, 2012

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

July 2, 2009 - May 11, 2010

AMERICAN BEACON PARTNERS, INC.

CRD#: 15791

AVON BY THE SEA, NJ

Past

June 8, 2007 - March 20, 2009

CIM SECURITIES, LLC

CRD#: 120852

CENTENNIAL, CO

Past

May 27, 2004 - June 30, 2005

MOUNTAIN RIVER SECURITIES, INC.

CRD#: 36937

DENVER, CO

Past

December 5, 2003 - February 19, 2004

BLUE MOON FINANCIAL, LLC

CRD#: 123224

DENVER, CO

Past

January 27, 2003 - September 3, 2003

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

July 1, 1999 - December 9, 2002

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

March 23, 1998 - September 15, 1998

BERGER DISTRIBUTORS LLC

CRD#: 41436

DENVER, CO

Past

April 30, 1997 - January 23, 1998

KFS BD, INC.

CRD#: 490

OMAHA, NE

Past

March 5, 1997 - April 7, 1997

HARVESTONS SECURITIES, INC.

CRD#: 34509

GREENWOOD VILLAGE, CO

Past

November 15, 1994 - March 5, 1997

TDI, INCORPORATED

CRD#: 30629

ENGLEWOOD, CO

Past

September 17, 1991 - November 22, 1994

LEHWALD, OROSEY & PEPE INCORPORATED

CRD#: 16677

BOCA RATON, FL

Past

June 11, 1991 - September 18, 1991

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

BOCA RATON, FL

Past

January 7, 1991 - April 22, 1991

LUMIERE SECURITIES, INC.

CRD#: 13414

DENVER, CO

Past

December 13, 1988 - May 1, 1989

RUAN SECURITIES CORPORATION

CRD#: 16276

Past

February 25, 1988 - December 19, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 4, 1988 - February 24, 1988

FIRST STATE INVESTMENTS, INC.

CRD#: 16693

Past

September 25, 1985 - January 15, 1988

FIRST INVESTMENT SECURITIES, INC.

CRD#: 13459

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/3/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BOUSTEAD SECURITIES, LLC

BOUSTEAD SECURITIES, LLC | MONARCH BAY SECURITIES, LLC | MONARCH BAY ASSOCIATES, LLC

CRD#: 141391 / SEC#: , 8-67384

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6 Venture Suite 395, Irvine, CA 92618

Mailing Address

6 Venture Suite 395, Irvine, CA 92618

Phone number

(949) 295-1580

Established

California since 04/19/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BOUSTEAD & COMPANY LIMITED	MEMBER
BULL, ROBERT LEE IV	FINOP & PRINCIPAL	1521134
MCCLORY, DANIEL JOSEPH	MEMBER	1390780
SMITH, LINCOLN JOSEPH JR	PRESIDENT/ CEO / CCO	2501422

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James T. Holt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Holt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CIM SECURITIES, LLC

FDX CAPITAL LLC

EDI FINANCIAL, INC.

MVP AMERICAN SECURITIES

MIDAMERICA FINANCIAL SERVICES, INC.

SELECT CAPITAL CORPORATION

CABOT LODGE SECURITIES LLC

CABIN SECURITIES, INC.

CIM SECURITIES, LLC

AMERICAN BEACON PARTNERS, INC.

CIM SECURITIES, LLC

MOUNTAIN RIVER SECURITIES, INC.

BLUE MOON FINANCIAL, LLC

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BERGER DISTRIBUTORS LLC

KFS BD, INC.

HARVESTONS SECURITIES, INC.

TDI, INCORPORATED

LEHWALD, OROSEY & PEPE INCORPORATED

NOBLE CAPITAL MARKETS, INC.

LUMIERE SECURITIES, INC.

RUAN SECURITIES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

FIRST STATE INVESTMENTS, INC.

FIRST INVESTMENT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/25/2017

Series 7

Date: 9/21/1985

Series 24

Date: 1/2/2023

FINRA

Current Firm

BOUSTEAD SECURITIES, LLC

Contact information

FINRA licenses (47 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BOUSTEAD SECURITIES, LLC

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