HG
Helen R. Gordon
STIFEL, NICOLAUS & COMPANY
Charleston, SC 29401
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CRD#: 1026211
HG
Professional summary
Helen R Gordon, who also goes by Helen Rhett Gordon, Helen Rutledge Rhett, Helen Rhett, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Charleston, South Carolina.
Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Helen has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Helen Rhett Gordon | Helen Rutledge Rhett | Helen Rhett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Helen R Gordon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Helen R Gordon's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 26, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 174 Meeting Street Ste 400, Charleston, SC 29401RIA
BD
CRD#: 793
Charleston, SC
Current
April 25, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 174 Meeting Street Ste 400, Charleston, SC 29401RIA
BD
CRD#: 793
Charleston, SC
Past
January 29, 2013 - August 22, 2023
EDWARD JONES
RIA
CRD#: 250
ATLANTA, GA
Past
April 17, 2012 - August 22, 2023
EDWARD JONES
BD
CRD#: 250
ATLANTA, GA
Past
March 5, 2010 - July 16, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ATLANTA, GA
Past
October 23, 2007 - February 13, 2009
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
ATLANTA, GA
Past
September 25, 2006 - October 11, 2007
RAFFERTY CAPITAL MARKETS, LLC
BD
CRD#: 23682
ATLANTA, GA
Past
July 16, 2003 - June 1, 2006
GLB TRADING, INC
BD
CRD#: 125363
CHICAGO, IL
Past
July 27, 2001 - August 22, 2001
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
November 29, 1989 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
May 9, 1988 - November 3, 1989
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 29, 1982 - March 2, 1983
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/29/2024)
RR
Arizona(5/9/2024)
RR
California(4/25/2024)
RR
Connecticut(4/25/2024)
RR
District of Columbia(5/1/2024)
RR
Florida(4/26/2024)
RR
Georgia(4/29/2024)
RR
Illinois(5/9/2024)
RR
Iowa(4/29/2024)
RR
Kentucky(5/3/2024)
RR
Louisiana(5/8/2024)
RR
Maine(4/25/2024)
RR
Maryland(5/2/2024)
RR
Minnesota(4/29/2024)
RR
Mississippi(4/30/2024)
RR
Missouri(5/2/2024)
RR
Nevada(4/30/2024)
RR
New Jersey(4/29/2024)
RR
New Mexico(4/30/2024)
RR
New York(5/12/2024)
RR
North Carolina(4/25/2024)
RR
Ohio(4/25/2024)
RR
Oklahoma(4/30/2024)
RR
Pennsylvania(4/26/2024)
RR
Rhode Island(4/26/2024)
RR
South Carolina(4/29/2024)
IAR
South Carolina(4/29/2024)
RR
Texas(4/26/2024)
IAR
Texas(4/26/2024)
RR
Vermont(4/29/2024)
RR
Virginia(5/3/2024)
RR
Washington(4/30/2024)
RR
Wyoming(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/24/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
