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Joan Kelley Holmes

CWM, LLC

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About Joan Kelley Holmes

Joan Kelley Holmes is a registered representative with CWM, LLC, which does business as Carson Partners. Joan has been in the financial services industry for over 13 years and has experience providing portfolio management, financial planning, estate planning, and other advisory services. Previously, Joan has worked with LPL Financial LLC and Girard Securities, Inc. She holds a Series 63, Series 66, and Series 24 license. Joan is also a registered investment advisor with Carson Partners.

Firm Information

Joan Holmes is currently registered with CWM, LLC. CWM, LLC is a registered investment adviser based in Omaha, NE, with over 475 investment adviser representatives. The firm manages a total of $26.77 billion in client assets, primarily for high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and pension and profit-sharing plans. The firm offers advisory services such as financial planning, portfolio management for individuals, selection of other advisers, and sub-advisory services for other investment advisory firms. The firm also participates in wrap fee programs.
CWM, LLC

14600 BRANCH ST.

OMAHA, NE 68154

$26.77B

Assets Under Management

629

Total Clients

448

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sub-advisory services for other investment advisory firms

Sub-advisory services for other investment advisory firms

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitor fees from other investment advisors

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Joan Holmes’s Registration & Firm History

NE

10/19/2020 - Present

CWM, LLC (OMAHA NE)

CA

11/16/2017 - 10/21/2020

LPL FINANCIAL LLC (IRVINE CA)

CA

08/07/2007 - 10/03/2017

GIRARD SECURITIES, INC. (MISSION VIEJO CA)

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Licenses & Designations

BOTH

Issued 02/15/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/20/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joan Kelley Holmes.
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