Joan Kelley Holmes

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2007 → 10/2017
  Girard Securities, Inc.
  Irvine, CA
• 11/2017 → 10/2020
  Lpl Financial, Llc
  Irvine, CA
• 10/2017 → Present
  Applied Financial Planning
  Irvine, CA
• 10/2020 → Present
  Cwm, Llc
  Omaha, NE
• 10/2020 → 08/2026
  Cetera Wealth Services, Llc
  El Segundo, CA

Previous Registrations

• 2017-11-16 → 2020-10-21
  Lpl Financial Llc
  Irvine, CA
• 2017-02-15 → 2017-10-03
  Girard Securities, Inc.
  Irvine, CA
  Mission Viejo, CA
  Corpus Christi, TX
  Mission Viejo, CA
  San Diego, CA

Other Businesses

NAME OF OTHER BUSINESS: NOTARY PUBLIC; NATURE OF BUSINESS: NOTARY PUBLIC; START DATE: 02/2018; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES TO CLIENTS, COMPLIMENTARY, WHEN NEEDED; NAME OF OTHER BUSINESS: RENTAL PROPERTY; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 08/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY;

Exams

• S66 Uniform Combined State Law Examination
  2017-02-15
• S63 Uniform Securities Agent State Law Examination
  2008-11-20