James Holmes, financial advisor Winston Salem NC
93 score

James Holmes

CRD Number: 4560509
Current Firm: Stephens

James Holmes (CRD# 4560509) is an Investment Advisor Representative working at Stephens in Winston Salem, NC and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Stephens Inc. Winston-salem, NC Mar 2011 - Current 6
Deutsche Bank Securities Inc. Winston Salem, NC Jul 2004 - Mar 2011 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2002
S65 NASAA Investment Advisors Law Examination Oct 2002
Contact Info for James E. Holmes
Phone Number: 501-377-2000
Firm Website: http://stephens.com/
Registered State(s):
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    6,643
    MILLIONS
  • Total Number of Accounts
    9,625
    ACCOUNTS
  • Average Account Value
    $690,163
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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