James Holliday, financial advisor Sparks NV
73 score

James Holliday

CRD Number: 1013968
Current Firm: L & S Advisors, Inc.

James Holliday (CRD# 1013968) is an Investment Advisor Representative working at L & S Advisors, Inc. in Sparks, NV and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
L & S Advisors, Inc. Los Angeles, CA Jul 2012 - Current 4
C. K. Cooper & Company Irvine, CA Jul 2010 - Jul 2012 2
Mutual Trust Comany Clearwater, FL Oct 2009 - Jul 2010 < 1
Universal Financial Consultants Clearwater, FL Oct 2009 - Jul 2010 < 1
Etf Portfolio Management, LLC Newbury Park, CA Dec 2008 - Oct 2009 < 1
Aeon Capital, LLC Santa Monica, CA Aug 2009 - Sep 2009 < 1
Campbell Financial Services, Inc. Baltimore, MD May 1997 - Sep 2008 11
Campbell & Co Inc. Baltimore, MD Feb 1997 - Sep 2008 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1983
S65 NASAA Investment Advisors Law Examination Jul 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James E. Holliday
Phone Number: 310-893-6060
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    517
    MILLIONS
  • Total Number of Accounts
    1,400
    ACCOUNTS
  • Average Account Value
    $369,505
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AZ, CA, CT, FL, GA, LA, MD, NC, NJ, NM, NV, NY, OH, OR, TX, WA

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BADGES
73

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