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Detailed Report
James R Holloway
JAMES RAY HOLLOWAY
CRD#: 5228938
IA
Investment Adviser
AE WEALTH MANAGEMENT, LLCCRD#: 282580 2405 Oak Alley
Tyler, TX 75703
Registration History
20062008201020122014201620182020202220242026IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2018 - Present (6 years)IAGLOBAL FINANCIAL PRIVATE CAPIT... (CRD# 132070)2011 - 2018 (6 years)IABROOKSTONE CAPITAL MANAGEMENT LLC (CRD# 141413)2006 - 2011 (5 years)
License(s)

State Registrations

IA
Texas 9/14/2018
Current Registration(s)
IA
AE WEALTH MANAGEMENT, LLC (CRD#:282580)
2405 Oak Alley, Tyler, TX 75703
911 W Loop 281 Fl 2, Office 14, Longview, TX 75605
Registered with this firm since 9/14/2018
Previous Registration(s)
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 10/20/2011 - 09/17/2018 GLOBAL FINANCIAL PRIVATE CAPITAL, LLC (CRD#:132070) TYLER, TX
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 10/17/2006 - 10/20/2011 BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413) TYLER, TX
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.