James Holmes has been an investment adviser representative at Three Magnolias Financial Advisors since October 2024, and is not listed among the firm’s executive officers or direct owners. James Holmes studied at Brevard College and the University of North Carolina at Chapel Hill.
Three Magnolias Financial Advisors, LLC is a Winston Salem, NC firm with $487M under management, 618 clients and 5 advisers across 2 offices, as of its March 2026 filing.
Jim Holmes joined Three Magnolias Financial Advisors in October 2024. He has over thirty years of experience in the financial services industry, and his focus is working with foundations, endowments and individuals on their investment goals. He has also worked in economic development and real estate development.
James Holmes’ longest registration was 8 years at Deutsche Bank Securities Inc. (2002–2011). Before joining Three Magnolias Financial Advisors in 2024, James Holmes was registered through Wells Fargo Advisors and Stephens.
- – present · 1 yearWinston Salem, NC · Adviser representative · Firm CRD 114471
- Wells Fargo Advisors– · 5 yearsWinston Salem, NC · Adviser representative · Firm CRD 19616
- Stephens– · 8 yearsWinston-Salem, NC · Adviser representative · Firm CRD 3496
- Deutsche Bank Securities Inc.– · 8 yearsWinston-Salem, NC · Adviser representative · Firm CRD 2525
Investment adviser representative registrations
James Holmes is registered as an investment adviser representative in North Carolina, since October 2024.
- North CarolinaSince 29 October 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 May 1993 |
| Series 7 | General Securities Representative Examination | 21 October 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 October 1991 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- James Eugene Holmes
- CRD
- 2174697
- Firm
- Three Magnolias Financial Advisors · CRD 114471
- Office
- 110 OAKWOOD DRIVE, SUITE 480, Winston Salem, NC 27103
- Registration
- Investment adviser registration
- In the industry since
- November 1991
- Disciplinary history
- Not yet shown here · SEC record
Where does James Holmes work?
James Holmes is an investment adviser representative registered through Three Magnolias Financial Advisors, LLC since October 2024, and is not listed among the firm’s executive officers or direct owners.
Is James Holmes a financial advisor?
Yes. James Holmes has a current investment-adviser registration in North Carolina, through Three Magnolias Financial Advisors since October 2024.
How many years of experience does James Holmes have?
James Holmes has 34 years in the financial industry, since November 1991, across 4 adviser firms.
What exams has James Holmes passed?
James Holmes has passed 3 licensing exams: the Series 63, Series 7 and Series 65. The earliest, the Series 63, was passed in October 1991. FINRA credited James Holmes with the SIE, which began in October 2018.
Where did James Holmes work before Three Magnolias Financial Advisors?
Before Three Magnolias Financial Advisors, James Holmes was registered through Wells Fargo Advisors, August 2019 to October 2024; Stephens, March 2011 to September 2019; Deutsche Bank Securities Inc., April 2002 to April 2011.
Where is James Holmes based?
James Holmes’ registered office is in Winston Salem, NC.
Is James Holmes registered with FINRA?
No. James Holmes has no current broker registration.
How can I verify James Holmes’ record?
Search CRD 2174697 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Holmes’ full registration record.
