James D. Holton
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 Daniel Holton, who also goes by Dan Holton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2015 - February 12, 2018
THE PRUDENT EXPERT LLC
March 25, 2008 - January 19, 2010
NRP ADVISORS, INC.
March 25, 2008 - January 19, 2010
NRP FINANCIAL, INC.
December 11, 2006 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2006 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2004 - April 17, 2006
FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE PRUDENT EXPERT LLC
CRD#: 238792 / SEC#:
Contact information
Red Flags
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