Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
KRIS ANTHONY HOLM
KRIS HOLM
CRD#: 2431395
IA
HOLM & CAWLEY FINANCIAL GROUP LLCCRD#: 150601 5155 S DURANGO DRIVE
STE# 102
LAS VEGAS, NV 89113
STE# 102
LAS VEGAS, NV 89113
View By:
2/4/2021
Criminal
Final Disposition
State Registrations
IA
Arizona 7/22/2020
IA
Utah 1/4/2011
IA
Nevada 12/22/2010
IA
Washington 11/16/2021
IA
Oklahoma 12/9/2019
IA
Registered with this firm since 12/22/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2009 - 01/25/2011 | LAS VEGAS, NV | |
IA | 05/12/2006 - 09/30/2009 | LAS VEGAS, NV | |
IA | 10/31/2005 - 05/19/2006 | LAS VEGAS, NV | |
IA | 08/05/2004 - 11/08/2005 | LAS VEGAS, NV | |
IA | 09/02/2005 - 10/31/2005 | LAS VEGAS, NV | |
IA | 08/19/2005 - 09/09/2005 | LAS VEGAS, NV |
LAS VEGAS, NV
08/05/2004 - 11/08/2005
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.