Helen L. Modly
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.
Helen Louise Modly, who also goes by Helen Louise Hopkins, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1983. Helen had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2017 - December 10, 2020
BUCKINGHAM STRATEGIC WEALTH, LLC
September 7, 2000 - August 1, 2017
FOCUS WEALTH MANAGEMENT, LTD.
June 1, 1998 - August 21, 2000
OSAIC FA, INC.
April 23, 1998 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 1, 1996 - April 16, 1998
MML INVESTORS SERVICES, LLC
August 8, 1983 - March 1, 1996
G. R. PHELPS & CO., INC.
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
Current Firm
BUCKINGHAM STRATEGIC WEALTH, LLC
CRD#: 143323 / SEC#: 801-67640
Contact information
Regulatory assets under management
| Total Number of Accounts | 51,749 |
| AUM (Assets Under Management) | $ 29,509,452,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/24/2024 | ||
| 07/22/2022 |
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.
