David L. 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.
David Lee Holmes was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
August 22, 2014 - February 8, 2016
ALLEGRO CAPITAL MANAGEMENT, INC.
June 6, 2014 - December 15, 2014
AVISEN ADVISORS, LLC
March 24, 2009 - May 9, 2011
DUNHAM
March 21, 2003 - June 30, 2009
ADAGIO CAPITAL MANAGEMENT, LLC
December 9, 1994 - April 11, 1995
LONDON PACIFIC SECURITIES, INC.
April 6, 1994 - December 9, 1994
SIGNATOR INVESTORS, INC.
April 5, 1994 - December 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 2, 1990 - April 4, 1994
MORGAN STANLEY & CO. LLC
July 7, 1989 - September 17, 1990
SIGNATURE EQUITIES CORPORATION
November 3, 1988 - July 17, 1989
ROSE SECURITIES CORPORATION
December 6, 1985 - October 31, 1988
R.I.C. SECURITIES, INC.
October 12, 1984 - February 19, 1985
CAMERON, MURPHY & SPANGLER, INC.
August 21, 1984 - September 25, 1984
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLEGRO CAPITAL MANAGEMENT, INC.
CRD#: 169830 / SEC#:
Contact information
Red Flags
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