Michael 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.
Michael Patric Holmes, who also goes by Mike Holmes, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 11 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2001 - September 10, 2002
WINDSOR STREET CAPITAL, LP
November 15, 2000 - November 5, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
May 31, 1996 - November 15, 2000
BIRCHTREE FINANCIAL SERVICES LLC
February 10, 1994 - May 29, 1996
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
August 26, 1991 - May 27, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 26, 1991 - May 27, 1993
OSAIC FA, INC.
January 18, 1985 - July 31, 1991
VSR FINANCIAL SERVICES, INC.
February 10, 1983 - January 18, 1985
WZW FINANCIAL SERVICES, INC.
August 4, 1981 - February 15, 1983
DAIN RAUSCHER INCORPORATED
March 4, 1981 - July 8, 1981
R. ROWLAND & CO., INCORPORATED
March 1, 1978 - March 20, 1981
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 8
Date: 11/10/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
