Peter W. Helms

EXETER FINANCIAL

SCOTTSDALE, AZ 85253-3644

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CRD#: 3048228

Professional summary

Peter Westover Helms, CIMA®, who also goes by Peter W Helms, is a registered financial advisor currently at EXETER FINANCIAL, LLC located in Scottsdale, Arizona.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Peter has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter W 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.

H2GLOBAL LLC-BUSINESS CONSULTING, MANAGING MEMBER/CONSULTANT, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE, AZ 85253, DEC 2007 TO PRESENT, 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS. ZIPSIT, INC.-A TECHNOLOGY COMPANY, ON DEMAND SITTING SERVICE, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE AZ. CO-FOUNDER/CEO, JULY 2015 TO PRESENT, 5-10 HOURS PER WEEK, CONFERENCE CALLS AND MEETINGS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 5, 2007 - Present

EXETER FINANCIAL, LLC

Office #1: 7001 N. Scottsdale Road Suite 1040, Scottsdale, AZ 85253-3644

RIA

CRD#: 143420

SCOTTSDALE, AZ

Past

February 4, 2008 - December 31, 2016

BMA SECURITIES, LLC

CRD#: 108219

SCOTTSDALE, AZ

Past

May 16, 2007 - February 4, 2008

THE SHEMANO GROUP, INC.

CRD#: 35528

SCOTTSDALE, AZ

Past

October 24, 2006 - May 4, 2007

OGILVIE SECURITY ADVISORS CORPORATION

RIA

CRD#: 10105

SCOTTSDALE, AZ

Past

October 24, 2006 - May 4, 2007

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

SCOTTSDALE, AZ

Past

April 14, 2005 - October 10, 2006

FBR INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 108883

ARLINGTON, VA

Past

April 12, 2005 - October 10, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

PHOENIX, AZ

Past

January 17, 2003 - April 1, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SEATTLE, WA

Past

January 15, 2003 - April 1, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

May 21, 1998 - March 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

EXETER FINANCIAL, LLC

ALKEME FINANCIAL SERVICES | EXETER FINANCIAL, LLC | ALKEME WEALTH MANAGEMENT

CRD#: 143420 / SEC#: 801-67719

RIA

Registered Investment Advisory firm - (4/5/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(4/5/2007)

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 66

Date: 10/16/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/31/2005

General Securities Principal Examination

Current Firm

EXETER FINANCIAL, LLC

ALKEME FINANCIAL SERVICES | EXETER FINANCIAL, LLC | ALKEME WEALTH MANAGEMENT

CRD#: 143420 / SEC#: 801-67719

RIA

Registered Investment Advisory firm - (4/5/2007 Approved)

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Contact information

Main Address

7001 N. Scottsdale Road Suite 1040, Scottsdale, AZ 85253-3644

Mailing Address

Phone number

(480) 588-0830

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXETER FINANCIAL, LLC ADV PART 2A 03.17.2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	631
AUM (Assets Under Management)	$ 366,250,324

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

Peter W. Helms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BMA SECURITIES, LLC

THE SHEMANO GROUP, INC.

OGILVIE SECURITY ADVISORS CORPORATION

OGILVIE SECURITY ADVISORS CORPORATION

FBR INVESTMENT MANAGEMENT, INC.

B. RILEY SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

EXETER FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/1998

SIE

Date: 12/31/2016

Series 7

Date: 5/20/1998

Series 24

Date: 5/31/2005

Current Firm

EXETER FINANCIAL, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXETER FINANCIAL, LLC

TRUST BUT VERIFY

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