JH
Jeffrey D. Holmes
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CRD#: 2662551
JH
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.
Jeffrey David Holmes, who also goes by Jeff Holmes, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 16 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeff 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.
1. DBA ASSURED FINANCIAL SERVICES, LLC.; INV RELATED; 14362 N. FRANK LLOYD WRIGHT BLVD., SUITE 1000, SCOTTSDALE, AZ 85260; INSURANCE AGENT; SALES OF FIXED INSURANCE; START 01/1998; 50 HOURS/MONTH; 50 HOURS DURING SECURITIES TRADING; DBA FOR INSURANCE SERVICES.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 19, 2019 - September 10, 2024
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
SCOTTSDALE, AZ
Past
September 28, 2017 - November 7, 2019
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
Scottsdale, AZ
Past
April 7, 2017 - September 6, 2017
PROSPERITY CAPITAL ADVISORS
RIA
CRD#: 156480
Aiken, SC
Past
October 15, 2015 - December 31, 2016
GRADIENT SECURITIES, LLC
RIA
CRD#: 127701
Scottsdale, AZ
Past
October 1, 2015 - December 31, 2016
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
Scottsdale, AZ
Past
February 12, 2015 - October 8, 2015
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
SCOTTSDALE, AZ
Past
February 2, 2015 - October 1, 2015
CFD INVESTMENTS, INC.
BD
CRD#: 25427
Scottsdale, AZ
Past
February 21, 2014 - February 4, 2015
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SCOTTSDALE, AZ
Past
January 8, 2014 - February 4, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
March 12, 2013 - November 27, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
SCOTTSDALE, AZ
Past
December 18, 2012 - December 16, 2013
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
SCOTTSDALE, AZ
Past
June 7, 2010 - February 21, 2013
ASSURED FINANCIAL, LLC
RIA
CRD#: 153553
PHOENIX, AZ
Past
April 22, 2009 - March 31, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
PHOENIX, AZ
Past
April 1, 2009 - March 31, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
PHOENIX, AZ
Past
July 16, 2008 - April 3, 2009
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
PHOENIZ, AZ
Past
January 7, 2008 - April 3, 2009
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
PHOENIZ, AZ
Past
February 15, 2006 - December 31, 2007
WELLSTONE SECURITIES, LLC
BD
CRD#: 121559
CUMMING, GA
Past
February 27, 1998 - December 11, 1998
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
March 13, 1996 - December 31, 1997
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
September 27, 1995 - March 4, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FI
FOUNDATIONS INVESTMENT ADVISORS LLC
5 MONEY MYTHS | WISER FINANCIAL ADVISORS | WEALTH CONSCIOUS | WAY FINANCIAL AND INSURANCE SERVICES, INC. | WAY FINANCIAL AND INSURANCE SERVICES | VITAL RETIREMENT PLANNERS | TRUE FINANCIAL | THE HIDDEN WEALTH SOLUTION | THE ESTATE AND RETIREMENT PLANNING CENTER | THE ADVISORS GROUP | TGW WEALTH MANAGEMENT | SUREPLAN FINANCIAL, INC. | SUMMIT FINANCIAL SERVICES | STEWART FINANCIAL SERVICES | SPINELLI WEALTH MANAGEMENT | SPECTRUM ADVISORY GROUP, LLC | SOVEREIGN WEALTH MANAGEMENT | SMART MONEY ADVISORS | SL CAPITAL WEALTH | SIMON & SIMON FINANCIAL, LLC | SIGNATURE WEALTH AND TAX | SECURE MONEY ADVISORS | SECRETARIO FINANCIAL, LLC | SARASOTA WEALTH ADVISORY | ROBERTS WEALTH MANAGEMENT OF MS, LLC | ROBBIN BROOME, INC. | RO ADVISORY SERVICES, LLC | RISE NORTH CAPITAL | RETIREMENT PLANS, LLC | RETIREMENT OUTFITTERS | RETIRE SIMPLY | REJOYCE FINANCIAL | RDW FINANCIAL GROUP | QUEST COMMONWEALTH | PFIS FINANCIAL | NORTHERN ALLIANCE FINANCIAL | NATHAN FORT, LLC | MORIARTY FINANCIAL SERVICES | MONTINI & COMPANY TAX ADVISORY | MONTINI & CO TAX ADVISORY GROUP | MOMENTUM FINANCIAL AND INSURANCE SERVICES, LLC | MCKINNEY MOORE WEALTH MANAGEMENT | MASSIF WEALTH SYSTEMS | MARKIEWICZ FINANCIAL GROUP | MARKET ADVISORY GROUP | MALIA FINANCIAL GROUP | LONGSHAW FINANCIAL GROUP | LOGAN GROUP | LIVE WELL ASSET MANAGEMENT | LIBERTY ADVISORY GROUP | KELLY FINANCIAL SERVICES | JP SANTANIELLO RETIREMENT PLANNING SOLUTIONS | JEREMY P. BARNARD, LLC | J.M. ARBOUR | IPG FINANCIAL | INTRINSIC WEALTH STRATEGIES, INC. | IMPACT PARTNERS FINANCIAL, LLC | HUGHES & DERN FINANCIAL GROUP | HTR GROUP, N.E., LLC, THE HELP TO RETIRE GROUP, THE HTR GROUP | HANSON FINANCIAL SERVICES, LLC | GUARDIAN INVESTMENT ADVISORS | GOLDEN EAGLE FINANCIAL, LTD. | GAISER FINANCIAL GROUP | FUCHS FINANCIAL | FREEDOM RETIREMENT SERVICES | FREEDOM INSURANCE AND FINANCIAL SOLUTIONS | FOUNDATIONS INVESTMENT ADVISORS LLC | FINANCIAL SECURITY ASSOCIATES INCORPORATED | FINANCIAL GRAVITY WEALTH | FIAT WEALTH MANAGEMENT | EVANS FINANCIAL GROUP / VETWEALTH | DONATO WEALTH MANAGEMENT, PLLC | DETROIT FINANCIAL | DAGHER FINANCIAL, LLC | CREATIVE SENIOR SOLUTIONS | CORNERSTONE CAPITAL MANAGEMENT | COMPLETE WEALTH STRATEGY | COMPASS RETIREMENT | COMPASS FINANCIAL | COASTAL FINANCIAL ADVISORS, LLC | CLEARPATH WEALTH ADVISORS | CLARK WEALTH MANAGEMENT, LLC | CHICAGO ONE FINANCIAL | CHADMERE CAPITAL | CASHMORE INVESTMENTS | CAPITOL PLANNING GROUP | ASSET PRESERVATION TAX & RETIREMENT, LLC | ASSET MANAGEMENT GROUP, INC. | ARTESIAN FINANCIAL GROUP | ANDREWS FINANCIAL SERVICES | ALPHA 1 TAX & WEALTH MANAGEMENT, LLC | ALLON PLANNING PARTNERS | AJM FINANCIAL | A4 FINANCIAL
CRD#: 175083 / SEC#: 801-100512
RIA
Registered Investment Advisory firm - (7/13/2015 Approved)Arizona
Registered Investment Advisory firm - (7/18/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040
Mailing Address
Phone number
(480) 626-2979
Established
Firm type
Fiscal year end
# of Employees
284
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,653 |
| AUM (Assets Under Management) | $ 7,184,472,288 |
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.
