James HollidayCRD 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.
American Wealth Management
Cojo Bay Advisors, LLC
Ameriprise Financial Services, Inc.
|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|
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
Total Assets Under Management517MILLIONS
Total Number of Accounts1,400ACCOUNTS
Average Account Value$369,505
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, CT, FL, GA, LA, MD, NC, NJ, NM, NV, NY, OH, OR, TX, WA
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