John P. 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.
John Phillip Holmes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 3 firms and has passed the Series 65, Series 3, Series 57TO, SIE, Series 62 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
January 3, 2025 - May 27, 2025
KAI WEALTH LLC
July 13, 2021 - January 3, 2023
QUIET LIGHT SECURITIES, LLC
July 24, 2008 - April 17, 2012
GELBER SECURITIES, LLC
Primary Firm SEC Registration
KAI WEALTH LLC
CRD#: 332136 / SEC#: 801-131183
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 57TO
Date: 7/12/2021
Securities Trader ExamSeries 62
Date: 7/23/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
KAI WEALTH LLC
CRD#: 332136 / SEC#: 801-131183
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 174,619,563 |
Red Flags
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