AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JH

Jessica W. Holmes

OPTSECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 6007009
JH

Professional summary

Jessica Warren Holmes, who also goes by Jessica Nicole Warren, is a registered financial professional currently at OPTSECURITIES, LLC located in Charlotte, North Carolina.

Jessica is registered as a RR (Registered Representative) and started their career in finance in 2012. Jessica has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jessica Nicole Warren

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.
Optcapital designs, implements and administers nonqualified deferred compensation plans and stock option plans. Optcapital is not investment related - it does not provide investment advisory services nor securities broker/dealer services. The company is located at 200 S. College Street, Suite 1600, Charlotte, NC, 28202. Jessica Holmes is a Senior Operations Associate of Optcapital, LLC, and has been with the Company since 2023. Duties include managing the day-to-day operations and client relations of the Company. Typical time devoted to this business is approximately 40 hours during securities trading hours and 50 hours in total weekly. Optcapital is defined to include subsidiaries named "Opt I, LLC," "Opt II, LLC," "Opt III, LLC," "Opt IV, LLC", "Opt V, LLC", "Opt VI, LLC" and "Opt VII, LLC". (the "Opt Subsidiaries"). The Opt Subsidiaries are not separate operating companies. Optcapital and the Opt Subsidiaries are a single economic unit and the Opt Subsidiaries are maintained for purposes of accounting for P&L of NQDC and Loans deemed to be issued or made by the particular Opt Subsidiary. Optpeople, Inc. is a payroll pass-through company formed to provide payroll and employment services for Optcapital and Optsecurities. It is not investment related. All employee compensation and benefits expenses are paid by Optpeople. The company is located at 200 S. College St., Suite 1600, Charlotte, NC 28202. Optpeople does not provide services to companies other than Optcapital and Optsecurities. Jessica Holmes receives compensation for her role at Optcapital through Optpeople. There are no duties related to Optpeople.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jessica Warren 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

May 22, 2023 - Present

OPTSECURITIES, LLC

Office #1: 200 S. College St. 16th Floor, Charlotte, NC, 28202
BD
CRD#: 47529
CHARLOTTE, NC
Past

January 28, 2022 - May 24, 2023

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
RICHMOND, VA
Past

January 28, 2022 - May 24, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
RICHMOND, VA
Past

February 17, 2021 - January 31, 2022

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
RICHMOND, VA
Past

February 17, 2021 - January 31, 2022

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
RICHMOND, VA
Past

August 17, 2020 - February 17, 2021

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

June 23, 2020 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

June 6, 2016 - July 22, 2019

OPTSECURITIES, LLC

BD
CRD#: 47529
CHARLOTTE, NC
Past

September 3, 2012 - August 31, 2015

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA

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
North Carolina
(5/22/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/14/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/31/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OL
OPTSECURITIES, LLC
OPT CAPITAL, LLC | OPTSECURITIES, LLC | OPT SECURITIES, LLC

CRD#: 47529 / SEC#: , 8-51811

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Mailing Address
200 S. College St. 16th Floor, Charlotte, NC, 28202
Phone number
(704) 731-5990
Established
North Carolina since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OPTCAPITAL, LLCSOLE MEMBER
EHRHART, RICHARD DANACEO AND CHIEF SUPERVISORY OFFICER2653050
EHRHART, RICHARD DANACHIEF COMPLIANCE OFFICER2653050
THORNTON, JONATHAN DAVIDCHIEF FINANCIAL OFFICER5095799

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

OPTSECURITIES, LLC

CRD#: 47529Charlotte, NC 28202

TRUST BUT VERIFY

Monitor Jessica Holmes

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics