Nicholas R. Holmes
Professional summary
Nicholas Robert Holmes, who also goes by Nicholas Holmes, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Old Lyme, Connecticut and BANKERS LIFE SECURITIES, INC. located in Old Lyme, Connecticut.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Robert Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2020 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 6 Vista Dr, Old Lyme, CT 06371August 19, 2024 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 6 Vista Drive, Suite 101, Old Lyme, CT 06371Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2020)
(9/3/2024)
Exams
Series 7TO
Date: 8/19/2024
General Securities Representative ExaminationFINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
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