RH
Robin D. Helms
VANGUARD MARKETING
CHARLOTTE, NC 28262
Some features on this profile are disabled
CRD#: 1049536
RH
Professional summary
Robin Douglas Helms, who also goes by Robin Gail Douglas, Robin Douglas Posey, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Robin is registered as a RR (Registered Representative) and started their career in finance in 1998. Robin has worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robin Gail Douglas | Robin Douglas Posey
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) - BD
Click below to view Robin Douglas Helms'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 17, 2013 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262BD
CRD#: 7452
CHARLOTTE, NC
Past
March 26, 2009 - April 26, 2013
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHARLOTTE, NC
Past
December 2, 2008 - March 26, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
March 10, 2005 - December 2, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
September 5, 2003 - February 18, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 15, 2002 - August 27, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 25, 1998 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(2/4/2014)
RR
Alaska(2/4/2014)
RR
Arizona(2/4/2014)
RR
Arkansas(2/4/2014)
RR
California(2/4/2014)
RR
Colorado(2/4/2014)
RR
Connecticut(2/4/2014)
RR
Delaware(2/4/2014)
RR
District of Columbia(2/4/2014)
RR
Florida(2/4/2014)
RR
Georgia(2/4/2014)
RR
Hawaii(2/4/2014)
RR
Idaho(2/4/2014)
RR
Illinois(2/4/2014)
RR
Indiana(2/4/2014)
RR
Iowa(2/4/2014)
RR
Kansas(2/4/2014)
RR
Kentucky(2/4/2014)
RR
Louisiana(2/4/2014)
RR
Maine(2/4/2014)
RR
Maryland(2/4/2014)
RR
Massachusetts(2/4/2014)
RR
Michigan(2/4/2014)
RR
Minnesota(2/4/2014)
RR
Mississippi(2/4/2014)
RR
Missouri(2/4/2014)
RR
Montana(2/4/2014)
RR
Nebraska(2/4/2014)
RR
Nevada(2/4/2014)
RR
New Hampshire(2/4/2014)
RR
New Jersey(2/4/2014)
RR
New Mexico(2/4/2014)
RR
New York(2/4/2014)
RR
North Carolina(4/29/2013)
RR
North Dakota(2/4/2014)
RR
Ohio(2/4/2014)
RR
Oklahoma(2/4/2014)
RR
Oregon(2/4/2014)
RR
Pennsylvania(2/4/2014)
RR
Puerto Rico(2/4/2014)
RR
Rhode Island(2/4/2014)
RR
South Carolina(2/4/2014)
RR
South Dakota(2/4/2014)
RR
Tennessee(2/4/2014)
RR
Texas(2/4/2014)
RR
Utah(2/4/2014)
RR
Vermont(2/4/2014)
RR
Virgin Islands(2/4/2014)
RR
Virginia(2/4/2014)
RR
Washington(2/4/2014)
RR
West Virginia(2/4/2014)
RR
Wisconsin(2/4/2014)
RR
Wyoming(2/4/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/31/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
