Byron L. Holley
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.
Byron Lee Holley was a registered financial advisor .
Byron is a previously registered financial advisor and started their career in finance in 1987. Byron had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2007 - March 17, 2008
MSC - BD, LLC
October 25, 2005 - August 22, 2007
A. G. EDWARDS & SONS, INC.
March 4, 2003 - August 31, 2005
A. G. EDWARDS & SONS, INC.
February 14, 1997 - August 22, 2007
A. G. EDWARDS & SONS, INC.
August 2, 1996 - February 19, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 24, 1993 - August 14, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 1989 - June 22, 1993
METROPOLITAN LIFE INSURANCE COMPANY
June 12, 1989 - June 22, 1993
MSI FINANCIAL SERVICES, INC.
July 25, 1988 - November 29, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 25, 1988 - November 29, 1988
PRUCO SECURITIES, LLC.
October 16, 1987 - July 12, 1988
WADDELL & REED
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 8
Date: 9/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MSC - BD, LLC
CRD#: 142927 / SEC#: , 8-67511
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
