Charles B. 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.
Charles Broadfoot Holmes, who also goes by Charles Holmes, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 23, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2016 - June 30, 2017
GFO ADVISORY SERVICES, LLC
January 14, 2008 - February 13, 2015
OPPENHEIMER & CO. INC.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
February 9, 1987 - January 14, 2008
CIBC WORLD MARKETS CORP.
October 26, 1984 - December 24, 1985
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
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 55
Date: 5/15/2006
Limited Representative-Equity Trader ExamCurrent Firm
GFO ADVISORY SERVICES, LLC
CRD#: 109278 / SEC#: 801-56752
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 290,648,483 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/26/2025 | ||
| 03/07/2024 | ||
| 04/17/2023 |
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.
