James M. Holcomb
Professional summary
James Michael Holcomb, who also goes by James Holcomb, is a registered financial advisor currently at WESTWARD INVESTMENT ADVISORY .
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Holcomb's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2016 - Present
WESTWARD INVESTMENT ADVISORY
December 17, 2015 - May 31, 2017
CENTRAL STATES CAPITAL MARKETS, LLC
September 2, 2014 - September 16, 2015
COMPASS CAPITAL CORPORATION
July 21, 2014 - September 16, 2015
COMPASS SECURITIES CORPORATION
December 2, 1998 - February 1, 2001
METROPOLITAN LIFE INSURANCE COMPANY
December 2, 1998 - February 1, 2001
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WESTWARD INVESTMENT ADVISORY
CRD#: 281742 / SEC#: 801-118800
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/15/2016)
(6/27/2018)
(2/16/2016)
Exams
Current Firm
WESTWARD INVESTMENT ADVISORY
CRD#: 281742 / SEC#: 801-118800
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 489,542,887 |
Red Flags
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