John Holmes
Professional summary
John Holmes is a registered financial professional currently at TD ARRANGED SERVICES LLC located in New York, New York and WESTMINSTER RESEARCH ASSOCIATES LLC located in Stamford, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 13 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2012 - Present
TD ARRANGED SERVICES LLC
Office #1: 1 Vanderbilt Avenue 11 Floor, New York, NY 10017May 31, 2017 - Present
WESTMINSTER RESEARCH ASSOCIATES LLC
Office #1: 262 Harbor Drive, Stamford, CT 06902December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017May 31, 2017 - July 21, 2020
COWEN EXECUTION SERVICES LLC
October 23, 2015 - June 15, 2016
COWEN PRIME SERVICES TRADING LLC
September 4, 2015 - February 10, 2022
COWEN PRIME SERVICES LLC
March 11, 2013 - August 21, 2013
COWEN SECURITIES LLC
November 14, 2012 - March 24, 2015
COWEN EQUITY FINANCE LP
May 4, 2012 - March 3, 2015
ATM
January 26, 2010 - December 9, 2024
COWEN AND COMPANY
July 12, 2006 - December 31, 2009
RAMIUS SECURITIES LLC
January 25, 2006 - June 28, 2006
BNP PARIBAS PRIME BROKERAGE, INC.
April 15, 2002 - June 28, 2006
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/31/2017)
(12/9/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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