James N. Holland
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 Norris Holland JR, who also goes by Bo Holland, Jimbo Holland, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1991. James had worked at 5 firms and has passed the Series 65, Series 63, Series 66, 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 11, 2012 - December 31, 2014
CORNERSTONE SECURITIES LLC
November 13, 2008 - June 20, 2012
BROOKSTONE SECURITIES, INC.
April 2, 2003 - August 30, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 31, 1994 - August 30, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 8, 1992 - November 18, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1991 - January 29, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CORNERSTONE SECURITIES LLC
CRD#: 140379 / SEC#: 801-133715
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
CORNERSTONE SECURITIES LLC
CRD#: 140379 / SEC#: 801-133715
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 800 |
| AUM (Assets Under Management) | $ 175,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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