Who Is Bradley Morgan Holts?
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Bradley Morgan Holts (CRD# 5819398) is a former financial advisor whose career includes affiliations with several broker-dealers, most recently with World Capital Brokerage, Inc. in Denver, CO. Previously, Holts was associated with firms including Supreme Alliance LLC, Capital One Investing, Capital One Investment Services LLC, and Edward Jones, primarily operating in Texas and North Carolina.
It’s crucial for investors to stay informed about the track record and regulatory status of any financial advisor handling their assets. In Holts’ case, multiple regulatory actions and client complaints have prompted ongoing concerns about his conduct.
Regulatory Actions and Broker History
| Employer | Time Period | Location |
|---|---|---|
| World Capital Brokerage, Inc. | 10/2020 – 07/2021 | Denver, CO |
| Supreme Alliance LLC | 03/2020 – 10/2020 | Charlotte, NC |
| Capital One Investing, LLC | 01/2015 – 05/2018 | Houston, TX |
| Capital One Investment Services LLC | 05/2014 – 01/2015 | Beaumont, TX |
| Edward Jones | 08/2010 – 02/2014 | Beaumont, TX |
Holts has also been barred by FINRA from acting as a broker or associating with a broker-dealer in any capacity. This action followed his failure to respond to regulatory requests for information.
You can view the official regulatory record of Bradley Holts on FINRA BrokerCheck.
Summary of Complaints, Lawsuits, and Investigations
Our investigation has identified several red flags and disciplinary actions related to Bradley Morgan Holts:
- SEC Civil Enforcement Action – In February 2023, the SEC filed a civil lawsuit in the Eastern District of Texas (Case No. 1:23-cv-00081). The complaint alleged that Holts misappropriated $186,382 from three elderly investors by falsely representing that their funds would be invested in Invesco mutual funds.
- Default Judgment and Penalties – On October 11, 2023, a federal court entered a final default judgment against Holts. He is permanently enjoined from further violations and was ordered to pay $186,382 in disgorgement, $18,005.31 in prejudgment interest, and an additional $186,382 civil penalty.
- FINRA Bar – Holts was barred by FINRA effective November 1, 2021 (Case #2021071760601) after he failed to provide information to the regulator following allegations of misconduct.
- Discharged by Prior Employer – Holts was discharged by a prior employer, further raising concerns regarding his professional conduct.
Red Flags Associated with Bradley Morgan Holts
- Barred from the Securities Industry: Holts is no longer permitted to act as a broker or advisor due to serious regulatory sanctions.
- Misappropriation of Client Funds: Regulatory actions document instances where Holts misused client assets for unauthorized purposes.
- Multiple Employer Discharges: Being terminated by previous employers is a significant indicator of risk for clients and potential investors.
- Failure to Cooperate with Regulators: Holts did not respond to critical information requests by FINRA, resulting in an industry bar.
- Civil Penalties and Court Findings: The SEC’s civil lawsuit resulted in a federal court ordering significant financial penalties against Holts for investor harm.
Summary Table: Complaints and Actions Against Bradley Holts
| Date | Regulator/Court | Allegation | Resolution |
|---|---|---|---|
| Feb 2023 | SEC (Eastern District of Texas) | Misappropriation of $186,382 from elderly investors | Oct 2023: Default judgment, injunction, and ordered repayment and civil penalty |
| Nov 2021 | FINRA | Failure to cooperate with regulatory investigation | Indefinitely barred from associating with any FINRA broker-dealer |
| 2021 | Employer Discharge | Termination for misconduct | Discharge from employer |
What Does This Mean for Investors?
- If you invested with Bradley Morgan Holts, particularly during his tenure at World Capital Brokerage, Inc. (Denver, CO), and have concerns about unauthorized transactions, misappropriated funds, or unexplained losses, you are not alone.
- Financial advisors are held to high standards. Any deviation, especially misappropriation of clients’ investments or failure to cooperate with regulatory reviews, can place investors at serious risk.
- Haselkorn & Thibaut has opened an investigation into Holts’ activities and is currently reviewing potential claims on behalf of affected investors.
How Haselkorn & Thibaut Can Help
With over 50 years of combined experience and a 98% success rate in investor recovery cases, Haselkorn & Thibaut is uniquely positioned to help victims of financial misconduct. Our team has recovered millions of dollars for clients nationwide, often through FINRA arbitration or direct negotiations.
- Free, confidential case evaluation
- Contingency-based representation (no recovery, no fee)
- Dedicated to helping individuals recover investment losses from advisor misconduct or fraud
- Nationwide service to investors wronged by their advisors or broker-dealers
Take Action: Get a Free Consultation Today
If you believe you may have been harmed by Bradley Morgan Holts’ actions as an advisor—especially relating to his time at World Capital Brokerage, Inc. (Denver, CO)—your next steps matter. Regulatory sanctions and lawsuits often signal a broader pattern of conduct, so time may be critical to recovering your losses.
Contact Haselkorn & Thibaut at 1-888-994-8066 for a complimentary, no-obligation legal consultation with an experienced investment fraud attorney. There are no upfront costs for case reviews, and you pay nothing unless we recover on your behalf.
Every conversation is confidential, and protecting investors is our
