Andrew W. Holmes

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CRD#: 4194961

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.

Andrew Wendall Holmes was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

March 14, 2011 - March 16, 2012

AVISO WEALTH MANAGEMENT

RIA

CRD#: 108146

MOUNT DORA, FL

Past

March 14, 2011 - September 1, 2011

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

PORTLAND, ME

Past

March 26, 2010 - March 22, 2011

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

MOUNT DORA, FL

Past

March 22, 2010 - March 22, 2011

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

MOUNT DORA, FL

Past

August 7, 2006 - March 26, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

MOUNT DORA, FL

Past

August 7, 2006 - March 26, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

MOUNT DORA, FL

Past

August 21, 2002 - August 9, 2006

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

SCARBOROUGH, ME

Past

August 7, 2000 - August 9, 2006

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

SCARBOROUGH, ME

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".

AVISO WEALTH MANAGEMENT

CRD#: 108146 / SEC#: 801-56358

RIA

Registered Investment Advisory firm - (3/22/1999 Approved)

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.

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 65

Date: 8/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/5/2000

General Securities Representative Examination

Current Firm

AVISO WEALTH MANAGEMENT

CRD#: 108146 / SEC#: 801-56358

RIA

Registered Investment Advisory firm - (3/22/1999 Approved)

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Contact information

Main Address

11900 Ne 1st St Suite 300, Bellevue, WA 98005

Mailing Address

Phone number

(877) 633-1210

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVISO WEALTH MANAGEMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,904
AUM (Assets Under Management)	$ 494,946,434

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.

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Advisor Monitoring

Firm Stability Insights

Andrew W. Holmes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JHS CAPITAL ADVISORS, LLC

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AVISO WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2002

Series 63

Date: 8/28/2000

Series 7

Date: 8/5/2000

Current Firm

AVISO WEALTH MANAGEMENT

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVISO WEALTH MANAGEMENT

TRUST BUT VERIFY

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