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HH

Hubert B. Holmes

CHARLES TOWNE SECURITIES
Charleston, SC
Some features on this profile are disabled
CRD#: 5150711
HH

Professional summary

Hubert Bascom Holmes is a registered financial professional currently at CHARLES TOWNE SECURITIES, LLC located in Charleston, South Carolina.

Hubert is registered as a RR (Registered Representative) and started their career in finance in 2006. Hubert has worked at 3 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Hubert Bascom Holmes's CRS (Customer Relationship Summary).

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

Current

April 10, 2019 - Present

CHARLES TOWNE SECURITIES, LLC

BD
CRD#: 172278
Charleston, SC
Past

October 31, 2011 - August 14, 2012

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

August 11, 2009 - October 11, 2010

DILWORTH SECURITIES, INC.

BD
CRD#: 134929
RIDGEFIELD, CT
Past

July 14, 2006 - September 5, 2008

DILWORTH SECURITIES, INC.

BD
CRD#: 134929
RIDGEFIELD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/10/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 3/21/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CT
CHARLES TOWNE SECURITIES, LLC
ALCHEMY SECURITIES, LLC | CHARLES TOWNE SECURITIES, LLC

CRD#: 172278 / SEC#: , 8-69505

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
123 Island Park Drive, Charleston, SC 29492
Mailing Address
123 Island Park Drive, Charleston, SC 29492
Phone number
(704) 516-1836
Established
Delaware since 06/06/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CTH-ADVISORSSHAREHOLDER
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS PRINCIPAL/CFO1121231
SANDERSON, MICHAEL OTTOCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER410294

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.

Company Information

CHARLES TOWNE SECURITIES, LLC

CRD#: 172278Charleston, SC

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