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Howard Joseph Holmes is a financial_advisor professional located in Brockton, MA. They specialize in financial advisory.
Howard Joseph Holmes - Holmes Investment Management, Inc. holds an active professional license (FINRA CRD) for your protection.
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Howard Joseph Holmes operates Holmes Investment Management, Inc. from Brockton, Massachusetts, providing financial advisory services. The firm is registered with FINRA, the Financial Industry Regulatory Authority, which oversees investment professionals and broker-dealers. Holmes holds FINRA CRD registration (License #4602838), indicating compliance with federal securities regulations and ongoing regulatory oversight. This registration reflects adherence to industry standards for client protection and professional conduct in investment management.
Holmes Investment Management holds a FINRA CRD license (License #4602838), which means the firm and its principals are registered with the Financial Industry Regulatory Authority. This federal registration is required for entities offering investment advice or managing client securities. FINRA CRD registration signals that the firm operates under SEC and FINRA rules designed to protect investors, including requirements for disclosure of conflicts of interest, suitability standards, and regular compliance examinations. This oversight provides a baseline level of regulatory accountability in the investment advisory space.