Philip W. 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.
Philip Walter Holmes was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1985. Philip had worked at 5 firms and has passed the Series 63, 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
March 11, 2010 - September 10, 2012
BROKERSXPRESS LLC
March 11, 2010 - September 10, 2012
BROKERSXPRESS LLC
October 25, 2005 - March 11, 2010
LPL FINANCIAL LLC
October 25, 2005 - March 11, 2010
LPL FINANCIAL LLC
September 23, 2003 - August 23, 2005
MORGAN STANLEY DW INC.
September 23, 2003 - August 23, 2005
MORGAN STANLEY DW INC.
July 8, 1997 - October 3, 2003
CITIGROUP GLOBAL MARKETS INC.
August 18, 1993 - October 3, 2003
CITIGROUP GLOBAL MARKETS INC.
December 8, 1986 - September 30, 1993
MORGAN STANLEY DW INC.
April 24, 1985 - December 1, 1986
QUOX, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 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.
