Heather Mae Helphrey

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2018-07-11
FL	RA	APPROVED	2001-09-14

CO RA
APPROVED

Since 2018-07-11
FL RA
APPROVED

Since 2001-09-14

Branch Locations

Boulder, CO • United States

255 S County Rd Ste 100 [Vg-Rbo], Palm Beach, FL 33480 • United States

West Palm Beach, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	West Palm Beach	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	West Palm Beach	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

West Palm Beach, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

West Palm Beach, FL

Other Businesses

POWER OF ATTORNEY FOR MOTHER; INVESTMENT RELATED; ATLANTIS, FL; START 3/2014; 1 HR PER MONTH; 1 HR DURING TRADING. POWER OF ATTORNEY FOR AUNT; INV RELATED; WEST PALM BEACH, FL; START 2/24/2015; 1 HR/MO; 0 DURING TRADING.; RENTAL PROPERTY, INVESTMENT RELATED, BOULDER, CO, 100% OWNERSHIP, START 9/17/2018, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-08-15
S63	Uniform Securities Agent State Law Examination	1996-01-05

S65 Uniform Investment Adviser Law Examination

2003-08-15
S63 Uniform Securities Agent State Law Examination

1996-01-05

View on SEC IAPD