Richard E. Helm

Some features on this profile are disabled

CRD#: 1178149

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.

Richard Edwin Helm was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 2, 2019 - October 9, 2020

AGATE PASS INVESTMENT, LLC

RIA

CRD#: 155049

BAINBRIDGE ISLAND, WA

Past

March 27, 2007 - January 3, 2018

COHEN & STEERS SECURITIES, LLC

CRD#: 29258

NEW YORK, NY

Past

June 26, 2002 - August 8, 2005

EDGE ASSET MANAGEMENT, INC.

RIA

CRD#: 104565

SEATTLE, WA

Past

February 22, 1988 - April 22, 1994

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

October 16, 1986 - October 14, 1987

ALPINE BROKER SERVICES CORP.

CRD#: 17941

Past

August 24, 1983 - November 8, 1983

EQUITEC SECURITIES COMPANY

CRD#: 6463

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".

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT MANAGEMENT, LLC | AGATE PASS INVESTMENT, LLC

CRD#: 155049 / SEC#: 801-115003

RIA

Registered Investment Advisory firm - (4/15/2019 Approved)

Washington

Registered Investment Advisory firm - (4/24/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/26/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/27/1987

Investment Company Products/Variable Contracts Principal Examination

Current Firm

AGATE PASS INVESTMENT, LLC

AGATE PASS INVESTMENT MANAGEMENT, LLC | AGATE PASS INVESTMENT, LLC

CRD#: 155049 / SEC#: 801-115003

RIA

Registered Investment Advisory firm - (4/15/2019 Approved)

Washington

Registered Investment Advisory firm - (4/24/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

400 Winslow Way East Suite 220, Bainbridge Island, WA 98110

Mailing Address

Phone number

(206) 842-5770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AGATE PASS INVESTMENT MANAGEMENT FORM ADV PART 2A FEBRUARY 2025 (2/21/2025)

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 278,741,044

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard E. Helm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COHEN & STEERS SECURITIES, LLC

EDGE ASSET MANAGEMENT, INC.

MORGAN STANLEY & CO. LLC

ALPINE BROKER SERVICES CORP.

EQUITEC SECURITIES COMPANY

Primary Firm SEC Registration

AGATE PASS INVESTMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/1996

Series 63

Date: 11/10/1986

SIE

Date: 1/3/2018

Series 6

Date: 3/26/2007

Series 7

Date: 8/20/1983

Series 26

Date: 1/27/1987

Current Firm

AGATE PASS INVESTMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AGATE PASS INVESTMENT, LLC

TRUST BUT VERIFY

Similar Advisors