Peter Westover Helms

Employer firm

Exeter Financial, LLC CRD 143420

$420M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

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

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

Current Employers

Employment History

• 03/2007 → Present
  Exeter Financial, Llc
  Scottsdale, AZ
• 02/2008 → 12/2016
  Bma Securities
  Scottsdale, AZ

Previous Registrations

• 2006-10-24 → 2007-05-04
  Ogilvie Security Advisors Corporation
  Scottsdale, AZ
• 2005-04-14 → 2006-10-10
  Fbr Investment Management, Inc.
  Arlington, VA
• 2003-01-17 → 2005-04-01
  Banc Of America Investment Services, Inc.
  Seattle, WA

Other Businesses

H2GLOBAL LLC-BUSINESS CONSULTING, MANAGING MEMBER/CONSULTANT, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE, AZ 85253, DEC 2007 TO PRESENT, 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS. ZIPSIT, INC.-A TECHNOLOGY COMPANY, ON DEMAND SITTING SERVICE, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE AZ. CO-FOUNDER/CEO, JULY 2015 TO PRESENT, 5-10 HOURS PER WEEK, CONFERENCE CALLS AND MEETINGS DURING SECURITIES TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  1998-10-16

Other Names

• Peter W Helms