Thomas J. Barrett

Some features on this profile are disabled

CRD#: 4412230

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.

Thomas Jay Barrett JR., who also goes by Thomas Jay Barrett, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 3 firms .

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Jay Barrett

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.

The advisor shows no other business activity.

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

December 13, 2006 - February 14, 2025

HELM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141773

DENVER, CO

Past

January 1, 1999 - December 14, 2006

THOMAS BARRETT & ASSOC. P.C.

RIA

CRD#: 112415

DENVER, CO

Past

January 1, 1999 - March 16, 2007

BARRETT/PONTIFF & FAIRWEATHER, P.C.

RIA

CRD#: 113424

DENVER, CO

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".

HELM INVESTMENT MANAGEMENT, LLC

CRD#: 141773 / SEC#: 801-67176

RIA

Registered Investment Advisory firm - (10/6/2006 Approved)

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.

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

Current Firm

HELM INVESTMENT MANAGEMENT, LLC

CRD#: 141773 / SEC#: 801-67176

RIA

Registered Investment Advisory firm - (10/6/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3017 E 2nd Ave, Denver, CO 80206

Mailing Address

Phone number

(303) 861-4835

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV - PART 2A (3/22/2025)

Regulatory assets under management

Total Number of Accounts	575
AUM (Assets Under Management)	$ 322,092,770

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Barrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HELM INVESTMENT MANAGEMENT, LLC

THOMAS BARRETT & ASSOC. P.C.

BARRETT/PONTIFF & FAIRWEATHER, P.C.

Primary Firm SEC Registration

HELM INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

HELM INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HELM INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors