Hugh 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.
Hugh Robert Holmes was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1970. Hugh had worked at 5 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 1980 - March 30, 2001
GILFORD SECURITIES INCORPORATED
January 31, 1980 - November 7, 1980
UBS FINANCIAL SERVICES INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 4, 1972 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
October 30, 1970 - March 17, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 10/23/1970
Registered Representative ExaminationSeries 40
Date: 9/21/1978
Registered Principal ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
