James L. Konte
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 Lawrence Konte, who also goes by James L Konte, James Konte, Jim Konte, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2025 - January 15, 2026
HOLLISTER ASSOCIATES, LLC
September 26, 2023 - December 21, 2023
PICKWICK CAPITAL PARTNERS, LLC
October 25, 2021 - November 10, 2023
FRONTIER SECURITIES
July 27, 2021 - September 28, 2021
YOSEMITE EXECUTION PARTNERS INC.
May 14, 2019 - December 18, 2020
FORESIDE FUND SERVICES, LLC
April 23, 2003 - November 14, 2005
INTL FCSTONE CREDIT TRADING LLC
April 24, 2001 - April 21, 2003
DEBTTRADERS, INC.
May 13, 1997 - April 2, 2001
STOEVER, GLASS & COMPANY INC.
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
Series 7TO
Date: 5/14/2019
General Securities Representative ExaminationCurrent Firm
HOLLISTER ASSOCIATES, LLC
CRD#: 173366 / SEC#: , 8-69538
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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