James E. Holmes

THREE MAGNOLIAS FINANCIAL ADVISORS

Winston Salem, NC 27103

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CRD#: 2174697

Professional summary

James Eugene Holmes III is a registered financial advisor currently at THREE MAGNOLIAS FINANCIAL ADVISORS located in Winston Salem, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

CENTENARY UNITED METHODIST CHURCH; INVESTMENT RELATED; WINSTON SALEM,NC; INV. COMMITTEE MEMBER, DELEGATE TO ANNUAL CONFERENCE; START DATE 10/15/2022; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS THE MANAGEMENT OF OPERATIONAL FUNDS THAT ARE HELD IN SEVERAL TRUSTS FOR THE CHURCH WHICH IS HANDLED BY OUTSIDE MONEY MANAGERS OR THROUGH MUTUAL FUNDS. INSURANCE AGENT; INVESTMENT-RELATED; WINSTON SALEM, NC; INSURANCE SALES; START DATE: 2024; APPROXIMATELY 1 HR/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Eugene Holmes III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 29, 2024 - Present

THREE MAGNOLIAS FINANCIAL ADVISORS

Office #1: 110 Oakwood Drive Suite 480, Winston Salem, NC 27103

RIA

CRD#: 114471

Winston Salem, NC

Past

August 30, 2019 - October 10, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WINSTON SALEM, NC

Past

August 30, 2019 - October 10, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WINSTON SALEM, NC

Past

March 11, 2011 - September 5, 2019

STEPHENS

RIA

CRD#: 3496

WINSTON-SALEM, NC

Past

March 11, 2011 - September 5, 2019

STEPHENS

CRD#: 3496

WINSTON-SALEM, NC

Past

April 16, 2002 - April 4, 2011

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

WINSTON-SALEM, NC

Past

January 13, 2001 - April 4, 2011

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

WINSTON-SALEM, NC

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

October 22, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THREE MAGNOLIAS FINANCIAL ADVISORS

BLUE ROCK ADVISORS, LLC | THREE MAGNOLIAS FINANCIAL ADVISORS, LLC | THREE MAGNOLIAS FINANCIAL ADVISORS | HUNT COLLINS & ASSOCIATES, LLC | BLUE ROCK WEALTH MANAGEMENT, LLC

CRD#: 114471 / SEC#: 801-60460

RIA

Registered Investment Advisory firm - (7/30/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(10/29/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1991

General Securities Representative Examination

Current Firm

THREE MAGNOLIAS FINANCIAL ADVISORS

BLUE ROCK ADVISORS, LLC | THREE MAGNOLIAS FINANCIAL ADVISORS, LLC | THREE MAGNOLIAS FINANCIAL ADVISORS | HUNT COLLINS & ASSOCIATES, LLC | BLUE ROCK WEALTH MANAGEMENT, LLC

CRD#: 114471 / SEC#: 801-60460

RIA

Registered Investment Advisory firm - (7/30/2001 Approved)

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Contact information

Main Address

110 Oakwood Drive Suite 480, Winston Salem, NC 27103

Mailing Address

Phone number

(336) 701-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,471
AUM (Assets Under Management)	$ 414,201,000

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.

Contact information

xxxxx@xxxx.xxx

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James E. Holmes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Eugene Holmes III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

STEPHENS

STEPHENS

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

THREE MAGNOLIAS FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1993

Series 63

Date: 10/7/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1991

Current Firm

THREE MAGNOLIAS FINANCIAL ADVISORS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THREE MAGNOLIAS FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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