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JH

James E. Holder

WAYPOINT SECURITIES
Sun Prairie, WI 53590
Some features on this profile are disabled
CRD#: 5961460
JH

Professional summary

James Edward Holder JR., who also goes by James Holder, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Holder

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) - BD

Click below to view James Edward Holder JR.'s CRS (Customer Relationship Summary).

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

Current

July 22, 2013 - Present

WAYPOINT SECURITIES, LLC

Office #1: 1390 Armagh Lane, Sun Prairie, WI 53590
BD
CRD#: 158622
Sun Prairie, WI

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
Series 63
Date: 11/25/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 11/9/2017
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 7/3/2013
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/23/2015
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WAYPOINT SECURITIES, LLC
WAYPOINT PRIVATE CAPITAL, INC. | WAYPOINT SECURITIES, LLC

CRD#: 158622 / SEC#: , 8-68913

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

Main Address
1390 Armagh Lane, Sun Prairie, WI 53590
Mailing Address
1390 Armagh Lane, Sun Prairie, WI 53590
Phone number
(608) 515-3354
Established
Delaware since 04/03/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HOLDER, JAMES EDWARD JR.MEMBER/ FINANCIAL OPERATIONS PRINCIPAL5961460
SPRINDIS, STEVEN GARYMEMBER/CHIEF COMPLIANCE OFFICER5998390

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

WAYPOINT SECURITIES, LLC

CRD#: 158622Sun Prairie, WI 53590

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