Individual Firm
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JAMES THOMAS HOLDER JR
SONNY HOLDER
CRD#: 4145442
IA
B
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 1605 MARTHA BERRY BOULEVARD NW
ROME, GA 30165
ROME, GA 30165
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10/22/2009
Customer Dispute
Settled
State Registrations
B
Alabama 5/21/2014
B
New York 5/13/2014
B
Arizona 4/21/2014
B
Oklahoma 4/28/2014
B
California 4/21/2014
B
Pennsylvania 4/21/2014
B
Florida 4/21/2014
B
South Carolina 7/26/2022
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 7/25/2023
B
Virginia 4/21/2014
B
Missouri 11/15/2024
B
Wisconsin 4/21/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/21/2014
B
Registered with this firm since 4/21/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/09/2003 - 04/22/2014 | ROME, GA | |
B | 06/15/2002 - 04/22/2014 | ROME, GA | |
B | 04/26/2000 - 06/15/2002 | CHARLOTTE, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.