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Marlene Rae Holmes

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Type: Registered Representative

Marlene Holmes is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,250 registered representatives nationwide. Marlene has held an industry securities registration for 27 years and is subject to FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
AXA Advisors, LLC 16 years, 1 month Sep 1999 - Present
The Equitable Life Assurance Society of The United States 20 years, 5 months Apr 1984 - Sep 2004
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 06/09/1986
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 01/28/1986

Answers and Articles

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Top Answers

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Top Articles

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*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees