Richard A. Holway

Some features on this profile are disabled

CRD#: 1594618

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.

Richard Alvah Holway, who also goes by Richard A Holway, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard A Holway

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

June 21, 2010 - November 12, 2018

OKCOIN SECURITIES LLC

CRD#: 136696

SAN FRANSISCO, CA

Past

January 19, 2006 - December 3, 2007

FIREFLY CAPITAL, INC.

CRD#: 113312

BOSTON, MA

Past

June 24, 2005 - December 15, 2005

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

February 23, 2004 - June 2, 2005

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

December 19, 2003 - December 15, 2004

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

NEW YORK, NY

Past

July 14, 2003 - October 8, 2003

PULSE TRADING, INC.

CRD#: 104022

BOSTON, MA

Past

December 3, 2001 - March 17, 2003

HARBORSIDE SECURITIES, LLC

CRD#: 114053

NEW YORK, NY

Past

June 15, 1998 - November 20, 2001

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

May 18, 1998 - June 9, 1998

JEFFERIES LLC

CRD#: 2347

Past

October 9, 1991 - June 3, 1998

IAI SECURITIES, INC.

CRD#: 27917

MINNEAPOLIS, MN

Past

December 8, 1988 - January 23, 1990

EXECUTION SERVICES INCORPORATED

CRD#: 7570

NEW YORK, NY

Past

December 11, 1986 - November 25, 1988

BT BROKERAGE CORPORATION

CRD#: 16570

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: 11/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/3/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/16/1989

Registered Options Principal Examination

Current Firm

OKCOIN SECURITIES LLC

DEEP ATS, LLC | SPOT QUOTE LLC | OKCOIN SECURITIES LLC

CRD#: 136696 / SEC#: , 8-67038

Terminated by SEC on 07/13/2021

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 10/18/2004

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
OKCOIN USA INC.	OWNER
FANG, HONG	CEO, PRINCIPAL AND DIRECTOR	5580624
GOLDMAN, CLIFFORD HOWARD	PRINCIPAL, FINOP, CCO	224292
XU, MINGXING	DIRECTOR	7152614

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard A. Holway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIREFLY CAPITAL, INC.

CANACCORD GENUITY LLC

SARATOGA CAPITAL MARKETS

BURLINGTON CAPITAL MARKETS INC.

PULSE TRADING, INC.

HARBORSIDE SECURITIES, LLC

JEFFERIES LLC

JEFFERIES LLC

IAI SECURITIES, INC.

EXECUTION SERVICES INCORPORATED

BT BROKERAGE CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/1986

SIE

Date: 10/1/2018

Series 55

Date: 1/3/2002

Series 7

Date: 11/15/1986

Series 24

Date: 11/14/2001

Series 4

Date: 8/16/1989

Current Firm

OKCOIN SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

OKCOIN SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors