Last updated: September 2025 — Beaumont, TX
Here’s what you need to know about this Beaumont, Texas former broker:
- Name: Bradley Morgan Holts
- Alias: Brad Morgan Holts, Bradley Holts
- Current Employer: Barred from acting as a broker by FINRA
- Prior Firms:
- World Capital Brokerage, Inc. (Denver, CO): 10/2020–07/2021
- Supreme Alliance LLC (Charlotte, NC): 03/2020–10/2020
- Capital One Investing, LLC (Houston, TX): 01/2015–05/2018
- Capital One Investment Services LLC (Beaumont, TX): 05/2014–01/2015
- Edward Jones (Beaumont, TX): 08/2010–02/2014
- Other Business Affiliations: Native Insurance Company
- CRD number: 5819398
- Stockbroker / Financial Advisor: Former registered representative and investment adviser representative; Barred by FINRA
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: Yes
- Discharged by a Prior Employer: Yes
If you’ve sustained damages from Mr. Holts, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money with Bradley Holts?
The U.S. Securities and Exchange Commission (SEC) filed a civil enforcement action in February 2023 in the Eastern District of Texas, Beaumont Division (Case No. 1:23-cv-00081) alleging that between February and May 2021 Holts misappropriated $186,382 from three elderly investors by falsely claiming he would invest in Invesco mutual funds. On October 11, 2023, the court entered final judgment by default, permanently enjoining Holts and ordering $186,382 in disgorgement, $18,005.31 in prejudgment interest, and a $186,382 civil penalty. FINRA barred Holts effective November 1, 2021 after he failed to respond to requests for information (FINRA Case 2021071760601).
Allegations of Broker Misconduct Against Bradley Holts
Misappropriation of Customer Funds
Investigations involving Theft and Misappropriation of Customer Funds
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Bradley Morgan Holts, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.