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BH

Bradley M. Holts

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CRD#: 5819398
BH

Professional summary

Bradley Morgan Holts was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bradley is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Bradley had worked at 7 firms, which includes WORLD CAPITAL BROKERAGE INC., SUPREME ALLIANCE LLC, CAPITAL ONE ADVISORS LLC, CAPITAL ONE INVESTING LLC, CAPITAL ONE FINANCIAL ADVISORS LLC, CAPITAL ONE INVESTMENT SERVICES LLC, EDWARD JONES.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Morgan Holts | Bradley Holts

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

October 9, 2020 - July 15, 2021

WORLD CAPITAL BROKERAGE, INC.

BD
CRD#: 37
DENVER, CO
Past

March 5, 2020 - October 8, 2020

SUPREME ALLIANCE LLC

RIA
CRD#: 45348
Beaumont, TX
Past

March 4, 2020 - October 8, 2020

SUPREME ALLIANCE LLC

BD
CRD#: 45348
CHARLOTTE, NC
Past

January 28, 2015 - May 2, 2018

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
SEATTLE, WA
Past

January 2, 2015 - May 2, 2018

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
Houston, TX
Past

May 14, 2014 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA
CRD#: 127236
MELVILLE, NY
Past

May 13, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
BEAUMONT, TX
Past

October 14, 2010 - February 13, 2014

EDWARD JONES

RIA
CRD#: 250
BEAUMONT, TX
Past

August 31, 2010 - February 13, 2014

EDWARD JONES

BD
CRD#: 250
BEAUMONT, TX

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
RR
IAR
Series 66
Date: 8/28/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2010
General Securities Representative Examination

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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.

Company Information

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

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