Jay R. Holiday
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.
Jay Robert Holiday was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1976. Jay had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2019 - August 2, 2019
CAPITAL ONE INVESTING, INC.
June 17, 1999 - March 26, 2019
RANDOLPH CAPITAL MANAGEMENT, LLC
May 21, 1986 - January 28, 1988
GIBRALTAR SECURITIES CO.
May 29, 1985 - May 16, 1986
CITIGROUP GLOBAL MARKETS INC.
June 11, 1981 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
December 29, 1980 - June 12, 1981
FIRST INTERREGIONAL EQUITY CORP.
June 25, 1980 - January 22, 1981
BEVILL, BRESLER & SCHULMAN INCORPORATED
April 6, 1976 - July 17, 1980
GIBRALTAR SECURITIES CO.
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
Current Firm
CAPITAL ONE INVESTING, INC.
CRD#: 285084 / SEC#: 801-111630
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,089 |
| AUM (Assets Under Management) | $ 920,140,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
