Stephen M. Holmes

PROTECTION POINT ADVISORS

Roseville, CA 95661

Some features on this profile are disabled

CRD#: 2443807

Professional summary

Stephen Michael Holmes, who also goes by Steve Holmes, is a registered financial advisor currently at PROTECTION POINT ADVISORS located in Roseville, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Stephen has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Holmes

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.

Stephen Michael Holmes is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. EWG Elevate Inc. always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of EWG Elevate Inc. in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Holmes'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 10, 2018 - Present

PROTECTION POINT ADVISORS

Office #1: 3200 Douglas Blvd Ste. 305, Roseville, CA 95661

RIA

CRD#: 291805

Roseville, CA

Past

October 18, 2010 - November 16, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Roseville, CA

Past

October 15, 2010 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Roseville, CA

Past

October 11, 2006 - October 20, 2010

EDWARD JONES

RIA

CRD#: 250

ROCKLIN, CA

Past

October 11, 2006 - October 20, 2010

EDWARD JONES

CRD#: 250

ROCKLIN, CA

Past

May 28, 2002 - October 17, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

ROSVILLE, CA

Past

May 21, 2002 - October 17, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

ROSVILLE, CA

Past

March 1, 2001 - May 20, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

November 4, 1998 - April 17, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 17, 1996 - October 19, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

April 4, 1996 - September 27, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 26, 1996 - April 10, 1996

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

October 4, 1994 - January 23, 1996

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

PROTECTION POINT ADVISORS

EAGLE WEST GROUP | PROTECTION POINT ADVISORS | MODERN ASSET PROTECTION PLANNING AKA M.A.P. PLANNING | EWG ELEVATE INC. | EAGLE WEST GROUP, INC.

CRD#: 291805 / SEC#: 801-113898

RIA

Registered Investment Advisory firm - (8/27/2018 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

California
(10/10/2018)

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 66

Date: 2/1/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/2015

General Securities Principal Examination

Current Firm

PROTECTION POINT ADVISORS

EAGLE WEST GROUP | PROTECTION POINT ADVISORS | MODERN ASSET PROTECTION PLANNING AKA M.A.P. PLANNING | EWG ELEVATE INC. | EAGLE WEST GROUP, INC.

CRD#: 291805 / SEC#: 801-113898

RIA

Registered Investment Advisory firm - (8/27/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3200 Douglas Blvd Ste. 305, Roseville, CA 95661

Mailing Address

Phone number

(916) 367-4540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-EWG ELEVATE INC. - MARCH 2025 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,620
AUM (Assets Under Management)	$ 578,353,657

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.

Similar Advisors

Jesus Zepeda

PFS INVESTMENTS INC.

SACRAMENTO, CA

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen M. Holmes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Holmes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

EDWARD JONES

EDWARD JONES

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

MML INVESTORS SERVICES, LLC

A. G. EDWARDS & SONS, INC.

MML INVESTORS SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

PROTECTION POINT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2002

Series 63

Date: 4/6/1994

SIE

Date: 12/31/2017

Series 7

Date: 3/11/1996

Series 6

Date: 10/3/1994

Series 24

Date: 3/30/2015

Current Firm

PROTECTION POINT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROTECTION POINT ADVISORS

TRUST BUT VERIFY

Similar Advisors