Jeffrey W. Helm
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.
Jeffrey Wallace Helm, who also goes by Jeff Helm, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2004 - January 8, 2026
FISHER INVESTMENTS
May 17, 2000 - September 5, 2003
PURISIMA SECURITIES, LLC
November 6, 1995 - April 22, 1998
NICHOLAS-APPLEGATE SECURITIES LLC
August 19, 1994 - September 25, 1995
DEAM INVESTOR SERVICES, INC.
November 19, 1992 - January 28, 1993
FIRST AFFILIATED SECURITIES
March 2, 1992 - June 17, 1992
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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