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Howard Justin Helms

LPl Financial LLC

Asheville, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-04-27
  • NC RA
    APPROVED
    Since 2012-04-27

Branch Locations

56 Central Avenue Suite 104, Asheville, NC 28801 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Asheville NC 04/2012 Present
  • 04/2012 → Present
    Lpl Financial
    Asheville, NC
Previous Registrations
  • 2008-01-01 → 2012-05-01
    Wells Fargo Clearing Services, Llc
    Asheville, NC
    Asheville, NC
  • 2005-02-17 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Asheville, NC
    Asheville, NC
    St. Louis, MO
Other Businesses

1. 04/18/2012 - HELMS WEALTH MANAGEMENT/ DBA ONLY/ ASHEVILLE, NC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-20
S65 Uniform Investment Adviser Law Examination 1994-07-18
S63 Uniform Securities Agent State Law Examination 1985-05-14
  • S66 Uniform Combined State Law Examination
    2003-11-20
  • S65 Uniform Investment Adviser Law Examination
    1994-07-18
  • S63 Uniform Securities Agent State Law Examination
    1985-05-14
Other Names
  • Skip Helms
  • Howard Justin Iii Helms

View on SEC IAPD

Other Firms

OPPENHEIMER & CO. INC.
CETERA INVESTMENT ADVISERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BEACON POINTE ADVISORS, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
WELLS FARGO CLEARING SERVICES, LLC
ALTAMONT CAPITAL MANAGEMENT

Other Investors

JAMES TURNER NORRIS
LAURENCE J CASPER
DONALD PETER WEIDEMANN
SANDRA K NEWBERRY
JONATHAN TRAVIS PAYNE
CHRISTINA LEIGH SIMPSON
KATHLEEN CARROLL KING
AMBER DAWN MCCLEEREY

Other Offices

OPPENHEIMER & CO. INC. · ASHEVILLE, NC
CETERA INVESTMENT ADVISERS LLC · ASHEVILLE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASHEVILLE, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
EDWARD JONES · ASHEVILLE, NC
LPL FINANCIAL LLC · ASHEVILLE, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Asheville, NC

More in Asheville, NC

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