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DH

Dennis L. Helm

Some features on this profile are disabled
CRD#: 4152758
DH

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.

Dennis Lynn Helm was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2000. Dennis had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) THE HELM GROUP LLC POSITION: Owner NATURE: INSURANCE - Life, Fixed Annuities, Long Term Care, Disability INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 02/01/2007 ADDRESS: 21 N. Enola Dr., Ste. 1, Enola PA 17025, United States DESCRIPTION: Offer insurance products to my clients. 2) THE HELM GROUP, LLC POSITION: owner NATURE: Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 60 START DATE: 05/28/2010 ADDRESS: 21 N. Enola Dr., Ste. 1, Enola PA 17025, United States DESCRIPTION: Prepare income tax returns for individuals and LLCs. 3) DRH PROPERTIES, LLC POSITION: owner NATURE: Real Estate Rental INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/10/2018 ADDRESS: 1 Marina Dr., Camp Hill PA 17011, United States DESCRIPTION: DRH Properties, LLC is a partnership of my wife and me that will purchase one or more investment properties. The first will be for an office for my financial services business, The Helm Group, LLC. As owner, I will perform nomal landlord activities. 4) THE HELM GROUP, LLC POSITION: Owner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2007 ADDRESS: 21 N. Enola Dr., Suite 1, Enola PA 17025, United States DESCRIPTION: Offering securities and investment advisory services. 5) WESTERN PENNSYLVANIA GOLF ASSOCIATION POSITION: Team Co-captain NATURE: Golf Course Rating INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/15/2018 ADDRESS: 930 N. Lincoln Ave., Pittsburgh PA 15233, United States DESCRIPTION: Lead team in rating some golf courses in Pennsylvania.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 2, 2007 - November 1, 2024

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
ENOLA, PA
Past

February 1, 2007 - November 1, 2024

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
ENOLA, PA
Past

June 13, 2000 - February 5, 2007

WADDELL & REED

RIA
CRD#: 866
HARRISBURG, PA
Past

April 19, 2000 - February 5, 2007

WADDELL & REED

BD
CRD#: 866
HARRISBURG, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/1/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2000
General Securities Representative Examination

Current Firm

NF
NEXT FINANCIAL GROUP, INC.
CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES

CRD#: 46214 / SEC#: 801-56786, 8-51356

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
11740 Katy Freeway Suite 600, Houston, TX 77079
Mailing Address
Phone number
(877) 876-6398
Established
Virginia since 06/28/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
564

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

NEXT FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)
CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)
VISIONARY MULTI-MANAGER PROGRAM BROCHURE MARCH 2025 (3/28/2025)
NEXT SELECT WRAP FEE BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
NEXT FINANCIAL HOLDINGS INC.SHAREHOLDER
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
SCHUMANN, ALEXIS VADVISORY CHIEF COMPLIANCE OFFICER3157769
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHA LYNNPRINCIPAL FINANCIAL OFFICER3197368

Regulatory assets under management

Total Number of Accounts16,805
AUM (Assets Under Management)$ 3,769,456,133

Disclosures

Regulatory Event27
Arbitration3
Bond3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/27/2024
Cover Page
Report
06/28/2024
Cover Page
Report

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.

Company Information

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

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