John Helms

SARASOTA CAPITAL STRATEGIES,INC.

Sarasota, FL 34236

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CRD#: 2596654

Professional summary

John Helms, CFP®, ChFC®, CLU®, who also goes by John Edward Helms IV, John Edward Iv Helms, John Edward Helms, is a registered financial advisor currently at SARASOTA CAPITAL STRATEGIES,INC. located in Sarasota, Florida and SAN BLAS SECURITIES LLC located in Chicago, Illinois.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 10 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Edward Helms Iv | John Edward Iv Helms | John Edward Helms

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) JOHN HELMS INC. INSURANCE SALES. NON-INVESTMENT RELATED. OWNER. ADDRESS: 1990 MAIN ST., STE 750, SARASOTA, FL 34236. HOURS OF OPERATION COINCIDE WITH MARKET HOURS. BEGAN 1993. 2) OBJECTIVE INSURANCE, INVESTMENT RELATED, FIXED INSURANCE BUSINESS, 1990 MAIN STREET SUITE 750, SARASOTA, FL 34236, 10/1/2018 3) Insurance adviser-commission, Principal Financial 401k-commission, Life settlement agent-commission 4) Accurate Wealth Management, Inc. Investment Adviser Representative. Objective Advisory. 1990 Main St Ste 750 Sarasota FL 34236. Investment Adviser-owner. 03/2020-start date. 40 hours /wk. Duties-financial planning for clients 5) occasional insurance consultation through John Helms, Inc. (long term care, life insurance, disability insurance, and annuities)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Helms'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®

CFP^®

Certified Financial Planner

Start date: 2003

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

March 29, 2022 - Present

SARASOTA CAPITAL STRATEGIES,INC.

Office #1: 1990 Main Stre Ste 750, Sarasota, FL 34236Office #2: 1990 Main St Ste 750, Sarasota, FL 34236

RIA

CRD#: 125951

Sarasota, FL

Current

January 24, 2022 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606

CRD#: 290605

CHICAGO, IL

Past

February 13, 2021 - November 4, 2021

CRD#: 16164

PHILADELPHIA, PA

Past

October 20, 1999 - September 13, 2000

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 5, 1995 - November 8, 1999

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 5, 1995 - November 8, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(1/24/2022)

IAR

Florida
(3/29/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/4/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 2/12/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/12/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/3/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SARASOTA CAPITAL STRATEGIES,INC.

SARASOTA CAPITAL STRATEGIES,INC. | SOCIAL SECURITY CONSULTANTS

CRD#: 125951 / SEC#: 801-68409

RIA

Registered Investment Advisory firm - (4/18/2013 Terminated)

California

Registered Investment Advisory firm - (12/31/2021 Terminated)

Florida

Registered Investment Advisory firm - (4/4/2013 Approved)

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).

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Contact information

Main Address

460 South Tamiami Trail, Osprey, FL 34229

Mailing Address

Phone number

(941) 918-2255

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	216
AUM (Assets Under Management)	$ 58,000,000

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.

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Firm Stability Insights

John Helms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Helms's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAN BLAS SECURITIES LLC

AAG CAPITAL, INC

ACCURATE WEALTH MANAGEMENT, LLC

J. W. COLE ADVISORS, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

SARASOTA CAPITAL STRATEGIES,INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MUTUAL SERVICE CORPORATION

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/2022

Series 6TO

Date: 2/12/2021

SIE

Date: 10/12/2020

Series 6

Date: 4/3/1995

FINRA

Current Firm

SARASOTA CAPITAL STRATEGIES,INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SARASOTA CAPITAL STRATEGIES,INC.

TRUST BUT VERIFY

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