Dana Holmes is a registered investment advisor, based in Smithfield, RI, with 25 years of industry experience.
Location
500 Salem Street, Smithfield, RI, 02917-1288
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Fidelity Brokerage Services LLCBroker
January 2021 - Present · 5 yrs 3 mos
Fidelity Brokerage Services LLC
January 2021 - Present · 5 yrs 3 mos
Fidelity Institutional Wealth Adviser LLC
January 2021 - Present · 5 yrs 3 mos
National Financial Services LLCBroker
December 2020 - Present · 5 yrs 4 mos
National Financial Services LLC
December 2020 - Present · 5 yrs 4 mos
Previous Registrations
Santander Securities
March 2015 - January 2020 · 4 yrs 10 mos
Santander Securities LLCBroker
February 2015 - January 2020 · 4 yrs 11 mos
Cco Investment Services CORP.
July 2013 - February 2015 · 1 yr 7 mos
Cco Investment Services CORP.Broker
December 2012 - February 2015 · 2 yrs 2 mos
Santander Securities LLCBroker
November 2012 - December 2012 · 1 mo
LPL Financial LLCBroker
September 2011 - September 2012 · 1 yr
Jackson National Life Distributors LLCBroker
August 2008 - August 2009 · 1 yr
Fidelity Investments Institutional Services Company, INC.Broker
May 1998 - August 2008 · 10 yrs 3 mos
Citizens Investment Securities, INC.Broker
February 1997 - April 1998 · 1 yr 2 mos
State Registrations2 states
RITX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.