Bruce J. 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.
Bruce John Holmes was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2012. Bruce had worked at 1 firm and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - January 8, 2018
FOCUS SECURITIES LLC
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 62
Date: 6/18/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS HOLDINGS USA, INC. | OWNER | |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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