Holmes S. Pettey

BARNES PETTEY FINANCIAL ADVISORS

CLARKSDALE, MS 38614

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CRD#: 1089212

Professional summary

Holmes Sherard Pettey is a registered financial advisor currently at BARNES PETTEY FINANCIAL ADVISORS, LLC located in Clarksdale, Mississippi.

Holmes is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Holmes has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

JPW Aviation Address: 1005 brooksberry cv, oxford , MS, 38614, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 09/13/2005 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner. Licensed Independent Life Insurance Agent -Accident & Health or Sickness, Life, Variable Life and Variable Annuity - investment related: yes, less than 5 hours a week dedicated to this activity, minimal during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holmes Sherard Pettey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 7, 2007 - Present

BARNES PETTEY FINANCIAL ADVISORS, LLC

Office #1: 252 Sunflower Avenue, Clarksdale, MS 38614

RIA

CRD#: 142944

CLARKSDALE, MS

Past

December 5, 2005 - February 14, 2007

BARNES PETTEY FINANCIAL ADVISORS

RIA

CRD#: 106587

CLARKSDALE, MS

Past

January 19, 1983 - July 1, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLARKSDALE, MS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(11/11/2016)

IAR

Mississippi
(2/15/2007)

IAR

Texas
(2/7/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/28/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

Current Firm

BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

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Contact information

Main Address

252 Sunflower Avenue, Clarksdale, MS 38614

Mailing Address

P.o. Box 1234, Clarksdale, MS 38614

Phone number

(662) 627-2225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BARNES PETTEY FINANCIAL ADVISORS, LLC ADV BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	2,720
AUM (Assets Under Management)	$ 1,123,122,793

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Holmes S. Pettey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Holmes Sherard Pettey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARNES PETTEY FINANCIAL ADVISORS

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BARNES PETTEY FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/1983

SIE

Date: 10/1/2018

Series 3

Date: 1/28/1985

Series 7

Date: 1/15/1983

Current Firm

BARNES PETTEY FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARNES PETTEY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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