Edward D. Helms
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.
Edward Durkin Helms, who also goes by Ed Helms, was a registered financial advisor .
Edward is a previously registered financial advisor and started their career in finance in 1987. Edward had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2007 - September 25, 2009
STONEHURST SECURITIES, INC.
July 27, 2006 - December 7, 2006
WRP INVESTMENTS, INC.
July 11, 2006 - December 7, 2006
WRP INVESTMENTS, INC.
April 16, 2004 - August 1, 2006
UBS FINANCIAL SERVICES INC.
April 16, 2004 - August 1, 2006
UBS FINANCIAL SERVICES INC.
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 8, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 27, 1994 - November 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1987 - January 13, 1988
INTERFIRST CAPITAL CORPORATION
November 18, 1987 - June 3, 1994
KIDDER, PEABODY & CO. INCORPORATED
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
STONEHURST SECURITIES, INC.
CRD#: 138218 / SEC#: , 8-67153
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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