John 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.
John Holmes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2024 - April 3, 2026
TD SECURITIES (USA) LLC
May 31, 2017 - July 21, 2020
COWEN EXECUTION SERVICES LLC
May 31, 2017 - April 3, 2026
WESTMINSTER RESEARCH ASSOCIATES 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 5, 2012 - April 3, 2026
TD ARRANGED SERVICES LLC
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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent 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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
