David Kim Holmes
Investment adviser representative at UBS Financial Services Inc.
10 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- UBS Financial Services Inc.May 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2021 to Apr 2025
- UnemployedAug 2021 to Oct 2021
- CitigroupMay 2021 to Jul 2021
- Nylife Securities LLCSep 2020 to May 2021
- New York Life Insurance CoJul 2020 to May 2021
- UnemployedApr 2020 to May 2020
- J.P. MorganMay 2016 to Mar 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 1 state (NJ).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4325075
- Firm CRD
- 8174