Charles P. 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.
Charles Philip Holmes, who also goes by Phil Holmes, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2007 - December 20, 2023
CENTAURUS FINANCIAL, INC.
January 3, 2006 - May 10, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 27, 1995 - January 4, 2006
CENTAURUS FINANCIAL, INC.
May 10, 1993 - June 27, 1995
CADARET, GRANT & CO., INC.
September 26, 1991 - July 19, 1995
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
April 10, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 10, 1987 - September 17, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 21, 1982 - May 12, 1987
TOWER SQUARE SECURITIES, INC.
June 21, 1977 - November 5, 1981
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 6/13/1977
Registered Representative ExaminationCurrent Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
