Kris A. Holm

HOLM & CAWLEY FINANCIAL GROUP LLC

Las Vegas, NV 89113

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CRD#: 2431395

Professional summary

Kris Anthony Holm, who also goes by Kris Holm, is a registered financial advisor currently at HOLM & CAWLEY FINANCIAL GROUP LLC located in Las Vegas, Nevada.

Kris is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kris has worked at 7 firms and has passed the Series 65, Series 63, Series 22, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kris Holm

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 Kris Anthony Holm's 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

December 22, 2010 - Present

HOLM & CAWLEY FINANCIAL GROUP LLC

Office #1: 5155 S Durango Drive Ste# 102, Las Vegas, NV 89113

RIA

CRD#: 150601

Las Vegas, NV

Past

September 23, 2009 - January 25, 2011

FINANCIAL ADVISERS OF AMERICA, LLC

RIA

CRD#: 142170

LAS VEGAS, NV

Past

September 23, 2009 - January 25, 2011

CRD#: 32625

DULUTH, GA

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

Arizona
(7/22/2020)

IAR

Nevada
(12/22/2010)

IAR

Oklahoma
(12/9/2019)

IAR

Utah
(1/4/2011)

IAR

Washington
(11/16/2021)

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: 7/21/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 5/2/2003

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/23/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/1/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HOLM & CAWLEY FINANCIAL GROUP LLC

CRD#: 150601 / SEC#:

Arizona

Registered Investment Advisory firm - (7/22/2020 Approved)

Nevada

Registered Investment Advisory firm - (7/9/2009 Approved)

Oklahoma

Registered Investment Advisory firm - (10/9/2019 Approved)

Utah

Registered Investment Advisory firm - (8/26/2009 Approved)

Washington

Registered Investment Advisory firm - (11/16/2021 Approved)

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Contact information

Main Address

5155 S Durango Drive Ste# 102, Las Vegas, NV 89113

Mailing Address

Phone number

(702) 277-3945

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 97,641,000

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.

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Advisor Monitoring

Firm Stability Insights

Kris A. Holm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kris Anthony Holm's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL ADVISERS OF AMERICA, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

SUNAMERICA SECURITIES, INC.

WMA SECURITIES, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2004

Series 63

Date: 2/28/1994

Series 22

Date: 5/2/2003

Series 6

Date: 11/23/1994

Series 26

Date: 2/1/2002

Current Firm

HOLM & CAWLEY FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOLM & CAWLEY FINANCIAL GROUP LLC

TRUST BUT VERIFY

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