Richard Holmes (CRD# 2600573) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Stockton, CA and has over 29 years of experience in the finance industry.
CRD# 4586809
Cetera Investment Advisers LLC
CRD# 2883630
Stifel, Nicolaus & Company, Incorporated
CRD# 5413
Stifel, Nicolaus & Company, Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Lspn Pro LLC | Lindon, UT | Aug 2023 - Current | < 1 |
| Champion Health, Inc. | Scottsdale, AZ | Jul 2023 - Current | < 1 |
| Net Law Group Inc. | Louisville, KY | Jun 2020 - Current | 3 |
| College Loan Freedom | Henderson, NV | Jun 2020 - Current | 3 |
| Wealthwave | Johns Creek, GA | Jan 2016 - Current | 8 |
| Transamerica Financial Advisors, Inc. | Stockton, CA | Jan 2012 - Current | 12 |
| World Financial Group | Stockton, CA | Jun 2001 - Current | 22 |
| Cal Alumni Club Of Sacramento | Davis, CA | Aug 2013 - Sep 2019 | 6 |
| Wm. F. Holmes Company | Fremont, CA | Feb 2009 - Jan 2019 | 9 |
| American Pacific Mortgage Corporation | Stockton, CA | Jul 2014 - Jun 2017 | 2 |
| Flashbanc, LLC | Boca Raton, FL | Mar 2011 - Jul 2015 | 4 |
| Peoples Mortgage | Chandler, AZ | Feb 2010 - Jun 2014 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1995 |
| S65 | NASAA Investment Advisors Law Examination | Aug 2018 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management1,619MILLIONS
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Total Number of Accounts45,001ACCOUNTS
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Average Account Value$35,987
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