HF
Helen H. Feinberg
RBC CAPITAL MARKETS
St. Petersburg, FL 33701-4337
Some features on this profile are disabled
CRD#: 1329829
HF
Professional summary
Helen Hough Feinberg, who also goes by Helen Clarkson Hough, is a registered financial professional currently at RBC CAPITAL MARKETS, LLC located in St. Petersburg, Florida.
Helen is registered as a RR (Registered Representative) and started their career in finance in 1985. Helen has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 50, Series 7, Series 52, Series 54, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Helen Clarkson Hough
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.
(1) NAME: COALITION OF AFFORDABLE HOUSING PROVIDERS, ADDRESS: PO BOX 14629, NATURE OF OTHER BUSINESS: ALLIANCE OF AFFORDABLE HOUSING PROVIDERS WHO MONITOR AND ADVOCATE FOR AFFORDABLE HOUSING POLICIES/LEGISLATION, POSITION/TITLE: BOARD MEMBER, START DATE: 4/1/2011, HOURS PER MONTH: 1 HOUR PER MONTH DURING BUSINESS HOURS (2) ASPEN WILD CONDOMINIUM ASSOCIATION; EAST HOPKINS AVE STE 203 ASPEN CO 81611; TRUSTEE; 4/11/2014; TRUSTEE ACTIVITIES; 2 HOURS DEVOTED PER MONTH; 0 HOURS DEVOTED DURING BUSINESS HOURS. (3) WRH INCOME PROPERTIES, 415 FIRST AVENUE NORTH, ST. PETERSBURG, FL 33701, PASSIVE INVESTOR, 04/29/2011 TO UNKNOWN, OWNER (PASSIVE ROLE), 1 HOUR PER MONTH, 0 HOURS PER MONTH DURING BUSINESS HOURS, PASSIVE INVESTOR AND WILL NOT BE PERFORMING ANY SERVICES. (4) Name of Entity: The Hough Family Foundation Address: 200 Second Ave S #330, St. Petersburg, FL Business Description: nonprofit Business is not investment related Start Date: December 1, 1996 Capacity: Board Member Duties Performed: Board member Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (5) Name of Entity - KJA2 LLC Address - 101 East Cooper Avenue #303, Aspen CO 81611 Business Description - LLC for estate planning purposes Business is/is not investment related - No Projected Start Date: 06/2020 Capacity: Sole member of the LLC but plan to sell 49% to daughter Duties Performed: LLC held for estate planning purposes Hours Devoted to this OBA Per Month: 2 Hours Devoted to this OBA during business hours: 0 (6) Name of Entity: Wake Forest University Board of Trustees Address: 1834 Wake Forest Road, Winston Salem, NC Business Description: Private university located in Winston-Salem, N.C. Business is/is not investment related: No Projected Start Date: 06/2021 Capacity: Board of Trustees Duties Performed: Quarterly board and committee meetings Hours Devoted to this OBA Per Month: 5 Hours Devoted to this OBA during business hours: 4
CRS (Client Relationship Summary) - BD
Click below to view Helen Hough Feinberg'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
February 27, 2004 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 100 Second Avenue South Suite 800, St. Petersburg, FL 33701-4337RIA
BD
CRD#: 31194
St. Petersburg, FL
Past
February 27, 2004 - December 12, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ST. PETERSBURG, FL
Past
November 24, 1992 - February 27, 2004
WILLIAM R. HOUGH & CO.
RIA
CRD#: 2235
ST PETERSBURG, FL
Past
June 25, 1985 - February 27, 2004
WILLIAM R. HOUGH & CO.
BD
CRD#: 2235
ST. PETERSBURG, FL
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Florida(2/27/2004)
RR
Massachusetts(8/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
