Helene P. Colvin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Helene Poulan Colvin, who also goes by Helene V Poulan, was a registered financial professional .
Helene is a previously registered financial professional and started their career in finance in 1983. Helene had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2021 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 21, 2021 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 14, 2018 - January 25, 2021
LPL FINANCIAL LLC
February 14, 2018 - January 25, 2021
LPL FINANCIAL LLC
February 18, 2004 - February 14, 2018
INVEST FINANCIAL CORPORATION
July 18, 2003 - February 14, 2018
INVEST FINANCIAL CORPORATION
July 3, 2001 - July 22, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 1999 - July 11, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 1983 - August 27, 1999
J.C. BRADFORD & CO.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/14/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
