James P. Hollis
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 Plezzie Hollis, who also goes by Jim Hollis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 2 firms and has passed the Series 63, Series 7, Series 6 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
November 22, 1996 - January 5, 1999
D.H. HILL SECURITIES, LLLP
January 6, 1986 - November 17, 1987
CADARET, GRANT & CO., 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
Current Firm
D.H. HILL SECURITIES, LLLP
CRD#: 41528 / SEC#: , 8-49475
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
