James L. Konte

HOLLISTER ASSOCIATES

MOUNT PLEASANT, SC

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CRD#: 2864202

Professional summary

James Lawrence Konte, who also goes by James L Konte, James Konte, Jim Konte, is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James L Konte | James Konte | Jim Konte

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Lawrence Konte's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 24, 2025 - Present

HOLLISTER ASSOCIATES, LLC

CRD#: 173366

MOUNT PLEASANT, SC

Past

September 26, 2023 - December 21, 2023

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672

WHITE PLAINS, NY

Past

October 25, 2021 - November 10, 2023

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

July 27, 2021 - September 28, 2021

YOSEMITE EXECUTION PARTNERS INC.

CRD#: 165587

LAFAYETTE, CA

Past

May 14, 2019 - December 18, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Newport Beach, CA

Past

April 23, 2003 - November 14, 2005

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

NEW YORK, NY

Past

April 24, 2001 - April 21, 2003

DEBTTRADERS, INC.

CRD#: 102120

NEW YORK, NY

Past

May 13, 1997 - April 2, 2001

STOEVER, GLASS & COMPANY INC.

CRD#: 7031

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(7/24/2025)

Arizona
(7/24/2025)

California
(7/24/2025)

Connecticut
(7/24/2025)

Florida
(7/24/2025)

Georgia
(7/24/2025)

Illinois
(7/24/2025)

Kansas
(7/24/2025)

Massachusetts
(7/24/2025)

New York
(7/24/2025)

North Carolina
(7/24/2025)

Oregon
(7/24/2025)

Pennsylvania
(7/24/2025)

South Carolina
(7/24/2025)

Texas
(7/24/2025)

Washington
(7/24/2025)

Exams

State Security Law Exam

Series 63

Date: 6/20/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/14/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/18/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

257 River Oak Drive, Mount Pleasant, SC 29464

Mailing Address

257 River Oak Drive, Mount Pleasant, SC 29464

Phone number

(401) 465-3080

Established

South Carolina since 09/09/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HOLLISTER, CHRISTOPHER VERN	CEO/CCO	5637565
CLIFFHANGER INVESTMENTS, LLC	OWNER
KUGLER, JACQUES	OWNER	5105697
MADABA INVESTMENTS, LLC	OWNER
PORTWOOD, WILLIAM BOYCE	CFO/FINOP	4853700

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James L. Konte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Lawrence Konte's CRS (Customer Relationship Summary).

Certified licenses

Experience

PICKWICK CAPITAL PARTNERS, LLC

FRONTIER SOLUTIONS, LLC

YOSEMITE EXECUTION PARTNERS INC.

FORESIDE FUND SERVICES, LLC

INTL FCSTONE CREDIT TRADING LLC

DEBTTRADERS, INC.

STOEVER, GLASS & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/2019

Series 7TO

Date: 5/14/2019

SIE

Date: 4/18/2019

Series 7

Date: 5/12/1997

FINRA

Current Firm

HOLLISTER ASSOCIATES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HOLLISTER ASSOCIATES, LLC

TRUST BUT VERIFY

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