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James Edward Holloway

Wells Fargo Clearing Services, LLC

Fort Lauderdale, FL

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2011-03-01
  • FL RA
    APPROVED
    Since 2011-03-01

Branch Locations

350 E Las Olas Blvd 19Th Fl, Fort Lauderdale, FL 33301 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Fort Lauderdale FL 02/2011 Present
  • 02/2011 → Present
    Wells Fargo Advisors Llc
    Fort Lauderdale, FL
Previous Registrations
  • 2009-10-23 → 2011-03-01
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
    Deerfield Beach, FL
    Fort Lauderdale, FL
    Fort Lauderdale, FL
  • 2002-07-09 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Deerfield Beach, FL
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-06
S63 Uniform Securities Agent State Law Examination 1987-12-08
  • S66 Uniform Combined State Law Examination
    2002-08-06
  • S63 Uniform Securities Agent State Law Examination
    1987-12-08
Designations
Other Names
  • Jay Holloway

View on SEC IAPD

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