Andy J Holmes at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6310142
Andy J Holmes is an Investment Adviser, associated with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at KANSAS CITY, MO. Andy Holmes’s Central Registration Depository (CRD) number is 6310142 and the FINRA Profile can be found at –

Disclosure #1 for Andy Holmes

    • Event Date: 7/30/2009
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: ALTERED EXPIRED MONTH ON TAG
    • Disposition: Dismissed
    • Amended Charges: EXPIRED TAG
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Pled guilty
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Should I file a FINRA complaint against brokers like Andy J Holmes?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Andy J Holmes’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Andy J Holmes

What is Andy Holmes's Central Registration Depository (CRD) Number?


Which firm is Andy J Holmes associated with?


Where is Andy Holmes located?

1200 MAIN ST, KANSAS CITY, MO, 64105

Where can I find more details about Andy Holmes's Investment Firm?

Visit to read a detailed report for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Are there any disclosures, allegations or complaints filed against Andy J Holmes?

Yes. There are disclosures, allegations, or complaints filed against Andy J Holmes. Click here to view all details

Where can I download a detailed FINRA report for Andy Holmes?

Click here to download a detailed FINRA report for Andy Holmes

Is it safe to do business with Andy J Holmes?

We’re not sure. Please research Andy Holmes’s disclosures, allegations and complaints before taking a decision

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