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JH

James R. Holdman

Some features on this profile are disabled
CRD#: 3122876
JH

Professional summary

James Riley Holdman 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 advisor and started their career in finance in 1999. Prior to being barred, James had worked at 6 firms, which includes NWT FINANCIAL GROUP LLC, GREENWING SECURITIES INC., ELECTRONIC ACCESS DIRECT INC., SUNSTATE ASSET MANAGEMENT INC., SUNSTATE EQUITY TRADING, MARKET WISE SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 5, 2007 - October 20, 2008

NWT FINANCIAL GROUP, LLC

BD
CRD#: 140145
BATON ROUGE, LA
Past

March 30, 2007 - December 31, 2008

GREENWING SECURITIES, INC.

RIA
CRD#: 136841
BATON ROUGE, LA
Past

June 27, 2006 - December 31, 2006

GREENWING SECURITIES, INC.

RIA
CRD#: 136841
BATON ROUGE, LA
Past

September 27, 2004 - May 25, 2007

ELECTRONIC ACCESS DIRECT, INC.

BD
CRD#: 36975
BATON ROUGE, LA
Past

November 26, 2003 - December 31, 2005

SUNSTATE ASSET MANAGEMENT, INC.

RIA
CRD#: 125351
BATON ROUGE, LA
Past

December 22, 1999 - December 8, 2004

SUNSTATE EQUITY TRADING

BD
CRD#: 43571
TAMPA, FL
Past

January 1, 1999 - November 2, 1999

MARKET WISE SECURITIES, LLC

BD
CRD#: 45269
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/27/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/29/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/2/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/1999
General Securities Principal Examination

Current Firm

NF
NWT FINANCIAL GROUP, LLC
NWT FINANCIAL GROUP, LLC

CRD#: 140145 / SEC#: , 8-67281

BD
Terminated by SEC on 12/31/2010
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 07/28/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESSUM, JOHN HARVEYREGISTERED OPTIONS PRINCIPAL3055999
JESSUM, JOHN HARVEYPRESIDENT3055999
NIEDERKROME, DAVID ERICCHIEF EXECUTIVER OFFICER2220569
BORIO, RONALD WILLIAMFINOP1092663
GAY, JULIE EILEENCHIEF COMPLIANCE OFFICER1323878

Disclosures

Regulatory Event7
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NWT FINANCIAL GROUP, LLC

CRD#: 140145

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