James T. 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 Thomas 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 1985. James had worked at 24 firms and has passed the Series 63, Series 7TO, SIE, 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
October 28, 2019 - November 30, 2023
CIM SECURITIES, LLC
January 19, 2017 - October 25, 2017
FDX CAPITAL LLC
January 8, 2016 - December 31, 2016
EDI FINANCIAL, INC.
March 19, 2015 - May 20, 2015
MVP AMERICAN SECURITIES
June 11, 2014 - March 5, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
July 1, 2013 - May 8, 2014
SELECT CAPITAL CORPORATION
September 4, 2012 - March 11, 2013
CABOT LODGE SECURITIES LLC
April 12, 2012 - August 2, 2012
CABIN SECURITIES, INC.
May 25, 2010 - April 4, 2012
CIM SECURITIES, LLC
July 2, 2009 - May 11, 2010
AMERICAN BEACON PARTNERS, INC.
June 8, 2007 - March 20, 2009
CIM SECURITIES, LLC
May 27, 2004 - June 30, 2005
MOUNTAIN RIVER SECURITIES, INC.
December 5, 2003 - February 19, 2004
BLUE MOON FINANCIAL, LLC
January 27, 2003 - September 3, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
July 1, 1999 - December 9, 2002
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 23, 1998 - September 15, 1998
BERGER DISTRIBUTORS LLC
April 30, 1997 - January 23, 1998
KFS BD, INC.
March 5, 1997 - April 7, 1997
HARVESTONS SECURITIES, INC.
November 15, 1994 - March 5, 1997
TDI, INCORPORATED
September 17, 1991 - November 22, 1994
LEHWALD, OROSEY & PEPE INCORPORATED
June 11, 1991 - September 18, 1991
NOBLE CAPITAL MARKETS, INC.
January 7, 1991 - April 22, 1991
LUMIERE SECURITIES, INC.
December 13, 1988 - May 1, 1989
RUAN SECURITIES CORPORATION
February 25, 1988 - December 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 4, 1988 - February 24, 1988
FIRST STATE INVESTMENTS, INC.
September 25, 1985 - January 15, 1988
FIRST INVESTMENT SECURITIES, 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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