Donald S. 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.
Donald Steven Holmes, who also goes by Don Holmes, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1994. Donald had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
February 13, 2007 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
May 18, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
November 17, 2004 - May 23, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 4, 2004 - May 23, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 10, 2001 - July 30, 2004
SOUTHTRUST SECURITIES, LLC
March 5, 1999 - July 6, 2001
TD AMERITRADE, INC.
April 25, 1994 - February 9, 1999
MORGAN KEEGAN & COMPANY, LLC
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
Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
