Benjamin C. Cawley

HOLM & CAWLEY FINANCIAL GROUP LLC

Las Vegas, NV 89113

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CRD#: 5673671

Professional summary

Benjamin Claude Cawley is a registered financial advisor currently at HOLM & CAWLEY FINANCIAL GROUP LLC located in Las Vegas, Nevada.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Benjamin has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Benjamin Claude Cawley'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

July 9, 2009 - Present

HOLM & CAWLEY FINANCIAL GROUP LLC

Office #1: 5155 S Durango Drive Ste# 102, Las Vegas, NV 89113

RIA

CRD#: 150601

Las Vegas, NV

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(7/22/2020)

IAR

Nevada
(7/9/2009)

IAR

Utah
(8/27/2009)

IAR

Washington
(11/16/2021)

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: 5/6/2009

Uniform Investment Adviser Law Examination

Current Firm

HOLM & CAWLEY FINANCIAL GROUP LLC

CRD#: 150601 / SEC#:

Arizona

Registered Investment Advisory firm - (7/22/2020 Approved)

Nevada

Registered Investment Advisory firm - (7/9/2009 Approved)

Oklahoma

Registered Investment Advisory firm - (10/9/2019 Approved)

Utah

Registered Investment Advisory firm - (8/26/2009 Approved)

Washington

Registered Investment Advisory firm - (11/16/2021 Approved)

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Contact information

Main Address

5155 S Durango Drive Ste# 102, Las Vegas, NV 89113

Mailing Address

Phone number

(702) 277-3945

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 97,641,000

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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Benjamin C. Cawley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Claude Cawley's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOLM & CAWLEY FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2009

Current Firm

HOLM & CAWLEY FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HOLM & CAWLEY FINANCIAL GROUP LLC

TRUST BUT VERIFY

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