HOLM & CAWLEY FINANCIAL GROUP LLC of LAS VEGAS, NV is an SEC-registered investment adviser (CRD 150601). Regulatory assets under management: $128.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Benjamin Claude Cawley | CHIEF COMPLIANCE OFFICER | — |
| Kris Anthony Holm | MANAGING MEMBER | — |
| Reuben Hammon Cawley | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-12-29 | regulatory | RESPONDENT FIRM FAILED TO LICENSE ONE OF ITS INVESTMENT ADVISER REPRESENTATIVES IN THE STATE OF NEVADA, WHO CONDUCTED BUSINESS FROM JULY 2009 TO PRESENT; HAD INDIRECT CUSTODY OF CLIENT FUNDS; BUT DID NOT COMPLY WITH THE CUSTODY REQUIREMENTS; HAD FAILED TO UPDATE ITS ADV SINCE JULY, 2009, HAD FAILED… | Final | $7K |
| — | criminal | — | — | — |