Timothy H. 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.
Timothy Hall Holmes was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - January 12, 2024
FINALIS SECURITIES LLC
October 24, 2017 - March 12, 2019
ATEL SECURITIES CORPORATION
July 13, 2011 - November 21, 2017
SAN FRANCISCO SENTRY INVESTMENT GROUP
April 1, 2011 - November 21, 2017
S F SENTRY SECURITIES, INC.
October 6, 2010 - December 31, 2010
FINANCIAL WEST GROUP
July 30, 2007 - October 9, 2008
NUVEEN SECURITIES, LLC
June 29, 2007 - October 9, 2008
NUVEEN FUND ADVISORS, LLC
April 6, 2004 - May 12, 2006
GBS FINANCIAL CORP.
July 23, 1999 - April 22, 2003
LEVCO SECURITIES, INC.
August 23, 1996 - July 2, 1997
FINANCIAL WEST GROUP
November 9, 1995 - August 5, 1996
ROBERTSON, STEPHENS & COMPANY LLC
February 8, 1994 - October 6, 1995
NICHOLAS-APPLEGATE SECURITIES LLC
March 12, 1991 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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