Shelby M. Miller

HELMSMAN FINANCIAL GROUP

WOODINVILLE, WA 98072

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CRD#: 4713127

Professional summary

Shelby M Miller, who also goes by Shelby M Springer, is a registered financial advisor currently at HELMSMAN FINANCIAL GROUP, LLC located in Woodinville, Washington.

Shelby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Shelby has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shelby M Springer

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) - RIA

Click below to view Shelby M Miller'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®

None

Experience

Current

January 16, 2004 - Present

HELMSMAN FINANCIAL GROUP, LLC

Office #1: 17330 135th Ave Ne, Suite 2a, Woodinville, WA 98072

RIA

CRD#: 113780

WOODINVILLE, WA

Past

October 16, 2003 - November 25, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

HELMSMAN FINANCIAL GROUP, LLC

HELMSMAN FINANCIAL GROUP, LLC | MRW FINANCIAL SERVICES LLC

CRD#: 113780 / SEC#: 801-113375

RIA

Registered Investment Advisory firm - (6/5/2018 Approved)

Washington

Registered Investment Advisory firm - (6/13/2018 Terminated)

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).

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

Washington
(1/16/2004)

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: 11/6/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/2003

General Securities Representative Examination

Current Firm

HELMSMAN FINANCIAL GROUP, LLC

HELMSMAN FINANCIAL GROUP, LLC | MRW FINANCIAL SERVICES LLC

CRD#: 113780 / SEC#: 801-113375

RIA

Registered Investment Advisory firm - (6/5/2018 Approved)

Washington

Registered Investment Advisory firm - (6/13/2018 Terminated)

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Contact information

Main Address

17330 135th Ave Ne Suite 2a, Woodinville, WA 98072

Mailing Address

Phone number

(425) 485-0381

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HELMSMAN FINANCIAL GROUP ADV PART 2 BROCHURE MARCH 2025 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 170,942,707

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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Shelby M. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shelby M Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

HELMSMAN FINANCIAL GROUP, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HELMSMAN FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2003

Series 7

Date: 10/15/2003

Current Firm

HELMSMAN FINANCIAL GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HELMSMAN FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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