Doyle Lavern Holmes
Professional Summary
Doyle Lavern Holmes, who also goes by Doyle Laverne Holmes, is a registered financial advisor currently at RAMPART ASSET MANAGEMENT LLC located in Irvine, California and MISCHLER FINANCIAL GROUP, INC. located in Irvine, California. Doyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Doyle has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doyle Laverne Holmes
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
HOLMES, DOYLE | RAMPART ASSET MANAGEMENT LLC
Contact Information
Main Address
46 Southfield Avenue Suite 200, Stamford, CT 06902Phone Number
(475) 477-9899# of Employees
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(11/6/1996)
(5/16/2014)
(2/22/2022)
(11/1/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Sep 2011About the Series 79 examSeries 22 — Direct Participation Programs Representative Examination
Passed Mar 1984About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Apr 1984About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Doyle Lavern Holmes's CRS (Customer Relationship Summary).
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