Robert J. Helm

HELM INVESTMENT

Fort Worth, TX 76110

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CRD#: 4614321

Professional summary

Robert Jason Helm, who also goes by Robert J Helm, is a registered financial advisor currently at HELM INVESTMENT located in Fort Worth, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Robert has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert J Helm

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.

INSURANCE SALES INVESTMENT RELATED: Yes ADDRESS: 6735 Forest Lawn Dr, Hollywood CA 90068 NATURE: Insurance Sales POSITION: independently licensed insurance agent START DATE: 04/03/2008 NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 DESCRIPTION: Life insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Jason Helm'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®

None

Experience

Current

October 13, 2021 - Present

HELM INVESTMENT

Office #1: 1617 Park Place Ave. Suite 110, Fort Worth, TX 76110

RIA

CRD#: 316688

Fort Worth, TX

Past

January 24, 2017 - October 19, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HOLLYWOOD, CA

Past

January 23, 2017 - October 19, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

HOLLYWOOD, CA

Past

February 14, 2013 - January 26, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOLLYWOOD, CA

Past

December 14, 2011 - August 24, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOLLYWOOD, CA

Past

December 13, 2011 - January 26, 2017

LPL FINANCIAL LLC

CRD#: 6413

HOLLYWOOD, CA

Past

April 4, 2008 - December 20, 2011

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WESTLAKE VILLAGE, CA

Past

April 4, 2008 - December 20, 2011

INVEST FINANCIAL CORPORATION

CRD#: 12984

WESTLAKE VILLAGE, CA

Past

July 25, 2005 - December 20, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WOODLAND HILLS, CA

Past

June 2, 2005 - December 20, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WOODLAND HILLS, CA

Past

September 13, 2004 - April 14, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 3, 2003 - May 16, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

December 17, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

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

California
(10/21/2021)

IAR

Texas
(10/13/2021)

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: 7/1/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2002

General Securities Representative Examination

Current Firm

HELM INVESTMENT

HELM INVESTMENT | RIO OAKS LLC | HELM INVESTMENTS

CRD#: 316688 / SEC#:

California

Registered Investment Advisory firm - (10/21/2021 Approved)

Texas

Registered Investment Advisory firm - (10/13/2021 Approved)

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Contact information

Main Address

1617 Park Place Ave. Suite 110, Fort Worth, TX 76110

Mailing Address

Phone number

(818) 451-7642

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 6,600,000

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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Advisor Monitoring

Firm Stability Insights

Robert J. Helm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Jason Helm's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

FIS BROKERAGE & SECURITIES SERVICES LLC

RUMSON CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2005

Series 63

Date: 1/7/2005

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2002

Current Firm

HELM INVESTMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HELM INVESTMENT

TRUST BUT VERIFY

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