Kelly 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.
Kelly Holmes, who also goes by Kelly A Holmes, Kelly A. Holmes, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2006. Kelly had worked at 4 firms and has passed the Series 63, SIE and Series 7 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, 2017 - October 25, 2017
NUVEEN SECURITIES, LLC
October 26, 2011 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 12, 2010 - July 22, 2011
FORESIDE FUNDS DISTRIBUTORS LLC
September 19, 2006 - February 26, 2010
LOOMIS SAYLES DISTRIBUTORS, L.P.
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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
