Robert C. 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.
Robert C Holmes, who also goes by Robert Cullum Holmes, Robert Holmes, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 3 firms and has passed the Series 63, Series 82TO, Series 52TO, Series 22TO, Series 6TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 7, Series 14, Series 26, Series 39, Series 10 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
December 21, 2021 - July 15, 2024
TCBI SECURITIES, INC.
October 1, 2008 - February 10, 2021
J.P. MORGAN SECURITIES LLC
November 12, 1997 - October 1, 2008
J.P. MORGAN SECURITIES 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 82TO
Date: 4/13/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 4/13/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 4/13/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 4/13/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 4/13/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
Red Flags
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