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Detailed Report
JAMES THOMAS HOLDER III
CRD#: 2633197
IA
Investment Adviser
B
Broker
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 1605 MARTHA BERRY BOULEVARD NW
ROME, GA 30165
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2014 (7 years)2 FIRMS2014 - Present (10 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2001 (<1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)2000 - 2000 (<1 year)BWACHOVIA SECURITIES, INC. (CRD# 431)1997 - 1999 (2 years)
Disclosure(s)
View By:
10/20/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/21/2014
B
New York 5/12/2014
B
Arizona 4/21/2014
B
Oklahoma 4/21/2014
B
California 4/21/2014
B
Pennsylvania 4/21/2014
B
Florida 4/21/2014
B
South Carolina 7/25/2022
B
Georgia 4/21/2014
B
Tennessee 4/21/2014
IA
Georgia 4/22/2014
B
Texas 4/21/2014
B
Kentucky 4/21/2014
IA
Texas 4/21/2014
B
Maryland 4/21/2014
B
Utah 4/21/2014
B
Mississippi 7/20/2023
B
Virginia 4/21/2014
B
Missouri 11/15/2024
B
Wisconsin 4/21/2014

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED (CRD#:146936)
1605 MARTHA BERRY BOULEVARD NW, ROME, GA 30165
Registered with this firm since 4/21/2014
B
BENJAMIN F. EDWARDS & COMPANY, INC. (CRD#:146936)
1605 MARTHA BERRY BOULEVARD NW, ROME, GA 30165
Registered with this firm since 4/21/2014
Previous Registration(s)
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IA
 10/10/2006 - 04/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROME, GA
B
 09/22/2006 - 04/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROME, GA
B
 10/01/2000 - 08/28/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 01/26/2000 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 06/03/1997 - 11/29/1999 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.