John G. 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 Gregory Holmes, who also goes by Greg Holmes, J. Greg 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 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2018 - January 24, 2022
CETERA INVESTMENT ADVISERS LLC
September 11, 2018 - January 24, 2022
CETERA INVESTMENT SERVICES LLC
June 13, 2014 - September 13, 2018
HORNOR, TOWNSEND & KENT, LLC
January 21, 2014 - September 13, 2018
HORNOR, TOWNSEND & KENT, LLC
September 30, 2013 - February 20, 2014
SYMETRA SECURITIES, INC.
May 16, 2013 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
November 4, 2008 - April 25, 2013
EMPOWER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/31/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
