James J. Holihan

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CRD#: 1414463

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 Joseph Holihan III, who also goes by James Joseph Holihan, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Joseph Holihan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 7, 2010 - December 31, 2020

EVERCORE WEALTH MANAGEMENT, LLC

RIA

CRD#: 148399

NEW YORK, NY

Past

August 29, 2003 - December 3, 2007

UST SECURITIES CORP.

CRD#: 13906

NEW YORK, NY

Past

April 18, 1996 - August 31, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Past

August 1, 1990 - May 5, 1995

GLICKENHAUS & CO.

CRD#: 2016

NEW YORK, NY

Past

January 13, 1988 - July 12, 1990

LEBENTHAL & CO., INC.

CRD#: 6490

NEW YORK, NY

Past

January 21, 1986 - November 20, 1987

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EVERCORE WEALTH MANAGEMENT, LLC

CRD#: 148399 / SEC#: 801-69645

RIA

Registered Investment Advisory firm - (10/1/2008 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/28/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/14/1994

Municipal Securities Principal Examination

Current Firm

EVERCORE WEALTH MANAGEMENT, LLC

CRD#: 148399 / SEC#: 801-69645

RIA

Registered Investment Advisory firm - (10/1/2008 Approved)

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Contact information

Main Address

55 East 52nd Street 23rd Floor, New York, NY 10055

Mailing Address

Phone number

(212) 822-7620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVERCORE WEALTH MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,405
AUM (Assets Under Management)	$ 13,898,597,233

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
01/26/2024	Cover Page	Report
12/28/2022	Cover Page	Report

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.

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Firm Stability Insights

James J. Holihan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UST SECURITIES CORP.

UST FINANCIAL SERVICES CORP.

GLICKENHAUS & CO.

LEBENTHAL & CO., INC.

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

EVERCORE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1993

Series 63

Date: 6/3/1986

Series 7

Date: 1/18/1986

Series 53

Date: 2/14/1994

Current Firm

EVERCORE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EVERCORE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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