James Edward Holder Jr.
Professional Summary
James Edward Holder JR., who also goes by James Holder, is a registered financial advisor currently at WAYPOINT SECURITIES, LLC located in Sun Prairie, Wisconsin. James is registered as a RR (Registered Representative) and started their career in finance in 2013. James has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 82, Series 79 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Holder
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
WAYPOINT PRIVATE CAPITAL, INC. | WAYPOINT SECURITIES, LLC
Contact Information
Main Address
1390 Armagh Lane, Sun Prairie, WI 53590Mailing Address
1390 Armagh Lane, Sun Prairie, WI 53590Phone Number
(608) 515-3354Established
Delaware since 04/03/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Nov 2017About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Jul 2013About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2015About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Edward Holder JR.'s CRS (Customer Relationship Summary).
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