James Holly is a registered investment advisor, based in Laguna Niguel, CA, with 17 years of industry experience.
Location
Laguna Niguel, CA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is a board member of the Capri Homeowners Association since 2023, dedicating minimal time to this role. He does not manage the HOA's assets, which are managed by Morgan Stanley.
Employment History
Current Registrations
World Investments, LLCBroker
October 2025 - Present · 11 mos
World Investment Advisors, LLC
September 2020 - Present · 6 yrs
Previous Registrations
Pensionmark Securities, LLCBroker
September 2020 - October 2025 · 5 yrs 1 mo
Pensionmark Financial Group, LLC
August 2020 - September 2020 · 1 mo
Pensionmark Securities, LLCBroker
August 2020 - September 2020 · 1 mo
Nationwide Investment Advisors, LLC
July 2014 - August 2020 · 6 yrs 1 mo
Nationwide Investment Services CorporationBroker
July 2014 - August 2020 · 6 yrs 1 mo
Db3 Securities, INC.Broker
March 2003 - October 2004 · 1 yr 7 mos
Securities America, INC.Broker
February 2002 - November 2002 · 9 mos
Sunamerica Capital Services, INC.Broker
May 2000 - November 2001 · 1 yr 6 mos
Raymond James Financial Services, INC.Broker
March 2000 - April 2000 · 1 mo
Princor Financial Services CorporationBroker
December 1994 - June 1996 · 1 yr 6 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.