Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Kim Holmes is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the financial services industry since 2003. David is a Series 7, Series 63, Series 66, Series 9, Series 10, Series 24, Series 3, Series 55, Series 57TO, and SIE licensed professional. David is registered to provide investment advice in 53 states and has a FINRA approval to provide investment advice. David specializes in providing portfolio management, pension consulting, educational seminars, and selection of other advisors to individuals and businesses. David has over 20 years of experience in the financial services industry and has worked for a number of firms including Morgan Stanley, J.P. Morgan Securities LLC, and New York Life Securities LLC. David has a strong track record of success and is committed to providing his clients with personalized financial advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
12/12/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE NJ)
NY
09/18/2020 - 05/07/2021
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
05/31/2016 - 03/30/2020
J.P. MORGAN SECURITIES LLC (Brooklyn NY)
NY
06/01/2009 - 03/30/2016
MORGAN STANLEY (PURCHASE NY)
NY
09/27/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
02/24/2006 - 06/13/2007
E*TRADE SECURITIES LLC (NEW YORK NY)
NY
07/17/2001 - 03/31/2006
E*TRADE PROFESSIONAL TRADING, LLC (NEW YORK NY)
NJ
06/07/2005 - 01/12/2006
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BOTH
Issued 07/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/13/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/21/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/15/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2003
Series 3 - National Commodity Futures Examination
BC
Issued 11/20/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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