Douglas D. Springer

HELMSMAN FINANCIAL GROUP

WOODINVILLE, WA 98072

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CRD#: 1032845

Professional summary

Douglas Don Springer is a registered financial advisor currently at HELMSMAN FINANCIAL GROUP, LLC located in Woodinville, Washington.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Douglas has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I AM A MEMBER OF AN LLC THAT OWNS ONE COMMERCIAL BUILDING (CANTERBURY ASSOC.)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Don Springer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 30, 1998 - Present

HELMSMAN FINANCIAL GROUP, LLC

Office #1: 17330 135th Ave. Ne Suite 2a, Woodinville, WA 98072

RIA

CRD#: 113780

WOODINVILLE, WA

Past

June 23, 1999 - December 31, 2002

PARTNERS INVESTMENT NETWORK, INC.

CRD#: 22423

SPOKANE, WA

Past

March 2, 1982 - September 19, 1997

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

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".

HELMSMAN FINANCIAL GROUP, LLC

HELMSMAN FINANCIAL GROUP, LLC | MRW FINANCIAL SERVICES LLC

CRD#: 113780 / SEC#: 801-113375

RIA

Registered Investment Advisory firm - (6/5/2018 Approved)

Washington

Registered Investment Advisory firm - (6/13/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Washington
(11/30/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/22/1989

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/1983

General Securities Principal Examination

Current Firm

HELMSMAN FINANCIAL GROUP, LLC

HELMSMAN FINANCIAL GROUP, LLC | MRW FINANCIAL SERVICES LLC

CRD#: 113780 / SEC#: 801-113375

RIA

Registered Investment Advisory firm - (6/5/2018 Approved)

Washington

Registered Investment Advisory firm - (6/13/2018 Terminated)

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Contact information

Main Address

17330 135th Ave Ne Suite 2a, Woodinville, WA 98072

Mailing Address

Phone number

(425) 485-0381

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HELMSMAN FINANCIAL GROUP ADV PART 2 BROCHURE MARCH 2025 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 170,942,707

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.

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Firm Stability Insights

Douglas D. Springer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Don Springer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARTNERS INVESTMENT NETWORK, INC.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

HELMSMAN FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1997

Series 63

Date: 5/5/1992

Series 7

Date: 2/20/1982

Series 27

Date: 6/22/1989

Series 24

Date: 7/21/1983

Current Firm

HELMSMAN FINANCIAL GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HELMSMAN FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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