James R. Holdman
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2007 - October 20, 2008
NWT FINANCIAL GROUP, LLC
March 30, 2007 - December 31, 2008
GREENWING SECURITIES, INC.
June 27, 2006 - December 31, 2006
GREENWING SECURITIES, INC.
September 27, 2004 - May 25, 2007
ELECTRONIC ACCESS DIRECT, INC.
November 26, 2003 - December 31, 2005
SUNSTATE ASSET MANAGEMENT, INC.
December 22, 1999 - December 8, 2004
SUNSTATE EQUITY TRADING
January 1, 1999 - November 2, 1999
MARKET WISE SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NWT FINANCIAL GROUP, LLC
CRD#: 140145 / SEC#: , 8-67281
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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