Clive R. 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.
Clive Robert Holmes, who also goes by Clive R Holmes, was a registered financial professional .
Clive is a previously registered financial professional and started their career in finance in 1992. Clive had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2002 - May 6, 2025
THE SILVERFERN GROUP, INC.
July 28, 1997 - May 31, 2001
DEUTSCHE BANK SECURITIES INC.
May 19, 1994 - June 23, 1997
MORGAN STANLEY & CO. LLC
September 22, 1992 - May 18, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THE SILVERFERN GROUP, INC.
CRD#: 119266 / SEC#: , 8-65167
Contact information
Documents
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.
