Jeffery Holmes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffery Holmes, who also goes by Jeffery Allen Holmes, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1983. Jeffery had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - May 18, 2020
FIRST ANALYSIS SECURITIES CORPORATION
May 20, 2010 - October 7, 2010
CAPSTONE INVESTMENTS
September 11, 2009 - May 17, 2010
COLLIERS SECURITIES LLC
May 24, 2006 - August 27, 2007
OTR GLOBAL TRADING LLC
May 6, 2003 - August 27, 2007
OTR GLOBAL LLC
August 12, 1997 - August 27, 2007
OTA LLC
April 13, 1995 - February 20, 1997
WELLS FARGO CLEARING SERVICES, LLC
May 23, 1990 - April 11, 1995
VECTOR SECURITIES INTERNATIONAL, INC.
September 13, 1989 - May 25, 1990
DAIN RAUSCHER INCORPORATED
August 23, 1983 - October 17, 1989
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
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.
