James T. Holloway
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 Thomas Holloway, who also goes by Jim Holloway, Jimmy Holloway, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2011 - May 10, 2013
STERNE, AGEE & LEACH, INC.
April 6, 2002 - July 18, 2003
STONEX SECURITIES INC.
September 4, 1998 - April 6, 2002
INTL CUSTODY & CLEARING SOLUTIONS INC.
May 21, 1996 - December 9, 1996
CENTAURUS FINANCIAL, INC.
October 1, 1995 - May 17, 1996
VOYA FINANCIAL ADVISORS, INC.
February 24, 1995 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
November 9, 1994 - March 1, 1995
WMA SECURITIES, INC.
August 25, 1992 - November 14, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 13, 1992 - August 21, 1992
SECO WEST LIMITED
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
