Duewayne H. 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.
Duewayne Handley Holley, who also goes by Due Wayne Handley Holley, Tag Holley, Duewayne Tag, was a registered financial professional .
Duewayne is a previously registered financial professional and started their career in finance in 1993. Duewayne had worked at 11 firms and has passed the Series 63, Series 7, Series 6 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
June 6, 2005 - September 28, 2009
SECURITIES MANAGEMENT & RESEARCH, INC.
December 12, 2002 - January 7, 2004
INVESTIN SECURITIES CORP.
May 14, 1998 - November 27, 2001
ACCESS BROKER.COM, INC.
August 15, 1997 - May 20, 1998
SUPERIOR FINANCIAL GROUP, INC.
July 16, 1997 - August 11, 1997
FIRST TITAN FINANCIAL CORP.
March 20, 1997 - July 25, 1997
SII INVESTMENTS, INC.
September 23, 1996 - January 16, 1997
SUNAMERICA SECURITIES, INC.
May 5, 1995 - October 1, 1996
MONEY CONCEPTS CAPITAL CORP
January 3, 1995 - May 8, 1995
COMMONWEALTH FINANCIAL NETWORK
January 20, 1994 - December 31, 1994
G. R. PHELPS & CO., INC.
May 24, 1993 - February 8, 1994
GUARDIAN INVESTOR SERVICES LLC
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
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| 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.
