Douglas Q. 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.
Douglas Quirk Holmes was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1988. Douglas had worked at 10 firms and has passed the Series 63, SIE, Series 79, 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
May 9, 2018 - October 16, 2018
CARLETON MCKENNA ADVISORS, LLC
April 9, 2009 - July 21, 2009
FINANCIAL AMERICA SECURITIES, INC.
May 12, 2004 - February 12, 2009
MCFARLAND DEWEY SECURITIES CO., LLC
June 19, 2002 - January 20, 2004
OPPENHEIMER & CO. INC.
November 9, 1998 - May 31, 2001
KEYBANC CAPITAL MARKETS INC.
November 8, 1996 - November 9, 1998
KEY CAPITAL MARKETS, INC.
May 5, 1993 - August 29, 1996
CARLETON, MCCREARY, HOLMES & CO.
October 14, 1989 - November 25, 1992
KIDDER, PEABODY & CO. INCORPORATED
May 25, 1988 - November 1, 1989
FBS MERCHANT BANKING CO.
January 19, 1988 - February 9, 1988
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
CARLETON MCKENNA ADVISORS, LLC
CRD#: 159230 / SEC#: , 8-68971
Contact information
FINRA licenses (6 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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