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JH

James E. Holmes

THREE MAGNOLIAS FINANCIAL ADVISORS
Winston Salem, NC 27103
Some features on this profile are disabled
CRD#: 2174697
JH

Professional summary

James Eugene Holmes III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

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.
The advisor shows no other business activity.

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

BD
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

BD
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.

BD
CRD#: 2525
WINSTON-SALEM, NC
Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

October 22, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
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".
TM
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1991
General Securities Representative Examination

Current Firm

TM
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
7

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (2/27/2026)

Regulatory assets under management

Total Number of Accounts1,471
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.

Company Information

THREE MAGNOLIAS FINANCIAL ADVISORS

CRD#: 114471Winston Salem, NC 27103

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