Joseph G. Holston
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.
Joseph Guimont Holston Jr, who also goes by Joseph Guimont Holston Jr, Bo Holston, Joseph Guimont Holston, Joseph Holston, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2018. Joseph had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2025 - October 13, 2025
FINALIS SECURITIES LLC
May 4, 2022 - July 30, 2024
MORGAN STANLEY & CO. LLC
May 10, 2019 - April 4, 2022
UBS FINANCIAL SERVICES INC.
May 10, 2019 - April 4, 2022
UBS FINANCIAL SERVICES INC.
May 11, 2018 - April 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2018 - April 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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