James M. Holland

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS

WINSTON SALEM, NC

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CRD#: 2181702

Professional summary

James Matthew Holland, CFP® is a registered financial advisor currently at MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC located in Winston Salem, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. James has worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view James Matthew Holland's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

January 5, 2017 - Present

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

RIA

CRD#: 117868

WINSTON SALEM, NC

Past

May 20, 2009 - December 31, 2016

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

RIA

CRD#: 117868

CHARLOTTE, NC

Past

September 21, 2007 - November 14, 2008

CONSOLIDATED PORTFOLIO REVIEW CORP

RIA

CRD#: 112694

WOODBURY, NY

Past

April 20, 2007 - November 14, 2008

IMPACTU.INVESTMENTS, LLC

CRD#: 122696

WAXHAW, NC

Past

January 27, 2003 - December 31, 2005

PGP FINANCIAL, INC.

CRD#: 21617

GREAT RIVER, NY

Past

August 8, 2000 - November 4, 2002

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

September 16, 1998 - July 13, 2000

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

March 24, 1998 - September 4, 1998

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

July 18, 1996 - September 3, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

February 22, 1994 - November 6, 1995

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

September 30, 1991 - January 21, 1992

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

MILLENNIUM | RICKY G. CANIPE DBA MILLENNIUM FINANCIAL SERVICES | MIRA | MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC | MILLENNIUM FINANCIAL SERVICES

CRD#: 117868 / SEC#: 801-76544

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/5/2017)

IAR

Texas
(9/26/2024)

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 66

Date: 9/18/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

MILLENNIUM | RICKY G. CANIPE DBA MILLENNIUM FINANCIAL SERVICES | MIRA | MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC | MILLENNIUM FINANCIAL SERVICES

CRD#: 117868 / SEC#: 801-76544

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/27/2012 Terminated)

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Contact information

Main Address

Winston Salem, NC

Mailing Address

1959 N. Peace Haven Rd. Box 157, Winston Salem, NC 27106

Phone number

(800) 344-4038

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MILLENNIUM INVESTMENT & RETIREMENT ADVISORS, LLC FORM ADV PART 2A FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	647
AUM (Assets Under Management)	$ 1,374,389,476

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 M. Holland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Holland's CRS (Customer Relationship Summary).

Certified licenses

Experience

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

CONSOLIDATED PORTFOLIO REVIEW CORP

IMPACTU.INVESTMENTS, LLC

PGP FINANCIAL, INC.

SYNDICATED CAPITAL, INC.

PRIME CAPITAL SERVICES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

INVESTORS ASSOCIATES, INC.

EDWARD JONES

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2007

Series 63

Date: 10/4/1991

Series 7

Date: 2/18/1994

Series 6

Date: 9/27/1991

Current Firm

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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