Nicholas Holmes has been Chief Compliance Officer of Intellicents Investment Solutions since July 2019, is not listed as a control person, but directly owns under 5% of the firm. Nicholas Holmes holds a Bachelor of Science in Management Information Systems and Business Analytics from Colorado State University - Global and a Master's Degree in Organizational Ethics and Compliance from the University of St. Thomas.
Intellicents Investment Solutions Inc is an Albert Lea, MN firm with $9.92B under management, 8,280 clients and 48 advisers across 14 offices, as of its June 2026 filing.
Nicholas Holmes is Chief Compliance Officer of intellicents. He builds, oversees and maintains the firm's compliance program and is responsible for compliance activities across the entire organization, working with each office location and the Consulting team. Before being appointed Chief Compliance Officer, he served as a Sales Supervisor, Alternative Investment Supervisor and Corporate Actions team lead for various organizations.
Nicholas Holmes’ longest registration is the current one, 7 years at Intellicents Investment Solutions since 2019. Before joining Intellicents Investment Solutions in 2019, Nicholas Holmes was registered through Cetera Advisors LLC.
- – present · 7 yearsGolden, CO · Adviser representative · Firm CRD 107498
- Cetera Advisors LLC– · 1 yearDenver, CO · Adviser representative · Firm CRD 10299
Professional designations
Listed by Intellicents Investment Solutions
- CSCP®
- AIF®
Investment adviser representative registrations
Nicholas Holmes is registered as an investment adviser representative in Colorado, since July 2019.
- ColoradoSince 17 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 4 January 2018 |
| Series 66 | Uniform Combined State Law Examination | 28 November 2017 |
| Series 24 | General Securities Principal Examination | 5 March 2010 |
| Series 4 | Registered Options Principal Examination | 23 October 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 August 2008 |
| Series 7 | General Securities Representative Examination | 23 June 2008 |
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Ian Holmes
- CRD
- 5334025
- Firm
- Intellicents Investment Solutions · CRD 107498
- Role
- Chief Compliance Officer
- Office
- 1111 WASHINGTON AVENUE, SUITE 115, Golden, CO 80401
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- intellicents.com
Where does Nicholas Holmes work?
Nicholas Holmes has been Chief Compliance Officer of Intellicents Investment Solutions Inc since July 2019.
Is Nicholas Holmes a financial advisor?
Yes. Nicholas Holmes has a current investment-adviser registration in Colorado, through Intellicents Investment Solutions since July 2019.
How many years of experience does Nicholas Holmes have?
Nicholas Holmes has 17 years in the financial industry, since December 2008, across 2 adviser firms.
What exams has Nicholas Holmes passed?
Nicholas Holmes has passed 7 licensing exams: the Series 7, Series 63, Series 4, Series 24, Series 66, Series 53 and Series 52TO. The earliest, the Series 7, was passed in June 2008. FINRA credited Nicholas Holmes with the SIE, which began in October 2018.
Where is Nicholas Holmes based?
Nicholas Holmes’ registered office is in Golden, CO.
Is Nicholas Holmes registered with FINRA?
Yes. Nicholas Holmes has a current broker registration, under CRD 5334025.
Source: FINRA BrokerCheck
How can I verify Nicholas Holmes’ record?
Search CRD 5334025 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicholas Holmes’ full registration record.
Bradley ArendsPresident & CEO
Brandon BuddPresident of Retirement Services - Direct Owner
Kevin DulitzVice President of Employee Benefits
Nicholas MadlVice President of Personal Finance Management- Amanda ScottVice President of Operations
Matthew TwedtPresident of Personal Financial Managment- Robert ReiterBoard Member/Director
Thomas SingsankCFO- Grant ArendsCOO