Johnny D. 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.
Johnny Dewayne Holmes was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 1987. Johnny had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2012 - December 31, 2024
BENCHMARK SECURITIES LLC
June 15, 2011 - December 3, 2012
GARDNYR MICHAEL CAPITAL, INC.
October 1, 2008 - May 6, 2011
UBS FINANCIAL SERVICES INC.
January 16, 2006 - October 17, 2008
UBS SECURITIES LLC
January 20, 1988 - January 26, 2006
UBS FINANCIAL SERVICES INC.
October 9, 1987 - January 26, 2006
UBS FINANCIAL SERVICES INC.
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 ExaminationCurrent Firm
BENCHMARK SECURITIES LLC
CRD#: 159940 / SEC#: , 8-69024
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
