Katherine P. Holmes
FIRST COMMAND ADVISORY SERVICES
Huntersville, NC 28078
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CRD#: 6344957
Professional summary
Katherine Priscilla Holmes, CFP®, who also goes by Katherine Priscilla De Henzel, Katherine De Henzel, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Huntersville, North Carolina and FIRST COMMAND BROKERAGE SERVICES, INC. located in Huntersville, North Carolina.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Katherine has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Priscilla De Henzel | Katherine De Henzel
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.
(1)Name of the other business: NovoNail, LLC Whether the business is investment-related: No Address of the other business: 600 Peter Jefferson Parkway Charlottesville, VA 22911 Nature of the other business: Other OBA Your position, title, or relationship with the other business: Partner The start date of your relationship: 09/01/15 The approximate number of hours/month you devote to the other business: 1 - 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: No duties or responsibilities. (2)Name of the other business: DeHenzel Holmes Development, LLC. ; Whether the business is investment-related: No ; Address of the other business: 425 E 11TH ST UNIT 24 OAKLAND, CA 94606 ; Nature of the other business: Real Estate/Rental Property ; Your position, title, or relationship with the other business: Owner ; The start date of your relationship: 3/1/2022 ; The approximate number of hours/month you devote to the other business: 1 to 5 ; The number of hours you devote to the other business during securities trading hours: 1 to 5 ; Briefly describe your duties relating to the other business: Investor
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Priscilla 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®
CFP®
Start date: 2020
Experience
Current
December 15, 2015 - Present
FIRST COMMAND ADVISORY SERVICES
Office #1: 16501 Northcross Dr Suite A-3, Huntersville, NC 28078RIA
CRD#: 281958
Huntersville, NC
Current
August 4, 2014 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 16501 Northcross Dr Suite A-3, Huntersville, NC 28078BD
CRD#: 3641
Huntersville, NC
Past
September 17, 2014 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
MOORESVILLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
RIA
Registered Investment Advisory firm - (7/28/2005 Approved)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.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
Alabama(10/12/2022)
RR
Florida(8/30/2023)
RR
Georgia(8/13/2021)
RR
Hawaii(9/17/2014)
RR
Maryland(1/4/2016)
RR
North Carolina(1/6/2023)
IAR
North Carolina(9/26/2023)
RR
South Carolina(8/30/2023)
RR
Texas(8/26/2019)
IAR
Texas(8/28/2019)
RR
Vermont(11/13/2023)
RR
Virginia(8/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
RIA
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Contact information
Main Address
1 Firstcomm Plaza, Fort Worth, TX 76109
Mailing Address
Po Box 2387, Fort Worth, TX 76113-2387
Phone number
(817) 731-8621
Established
Firm type
Fiscal year end
# of Employees
1,787
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
