James O. Holton
Professional summary
James Orval Holton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, James had worked at 3 firms, which includes MERCANTILE INVESTMENT SERVICES INC., GUARANTY BROKERAGE SERVICES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1997 - September 9, 1998
MERCANTILE INVESTMENT SERVICES, INC.
February 16, 1996 - July 1, 1997
GUARANTY BROKERAGE SERVICES, INC.
March 27, 1995 - March 12, 1996
PRUCO SECURITIES, 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
MERCANTILE INVESTMENT SERVICES, INC.
CRD#: 19908 / SEC#: , 8-37913
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCANTILE BANK OF ST. LOUIS | OWNER | |
| ARNOLD, JOHN Q | CHAIRMAN DIRECTOR | 3168195 |
| CODY, KIRSTEN MONIKA | SROP | 2552959 |
| GABRIEL, JONATHAN PETER | PRESIDENT | 2319321 |
| HIDY, RICHARD J. | SECRETARY | 4075150 |
| JACOBSMEYER, CAROL JEAN | VICE PRESIDENT - SALES | 603832 |
| KEAVENY, JOSEPH PETER | DIRECTOR OF COMPLIANCE | 1033959 |
| MARKWELL, FRED H | VICE PRESIDENT - TAX | 3201341 |
| NORMILE, MICHAEL TIMOTHY | VICE PRESIDENT - TAX | 1681557 |
| SANTIAGO, MARIA ISABEL | VICE PRESIDENT - OPERATIONS MANAGER | 1275974 |
| TRUEMAN, DANIEL JOSEPH | VICE PRESIDENT/DIRECTOR | 2912375 |
| ZENSEN, JOHN THOMAS | CROP | 2420120 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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