Joshua M. Helms

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CRD#: 5476217

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.

Joshua Michael Helms was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2008. Joshua had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

April 18, 2018 - June 29, 2021

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

RIA

CRD#: 286151

CARMEL, IN

Past

February 28, 2017 - February 9, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

INDIANAPOLIS, IN

Past

February 28, 2017 - February 9, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

INDIANAPOLIS, IN

Past

February 2, 2016 - February 28, 2017

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

INDIANAPOLIS, IN

Past

February 2, 2016 - February 28, 2017

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

Past

May 23, 2014 - February 20, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

INDIANAPOLIS, IN

Past

May 23, 2014 - February 17, 2015

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

INDIANAPOLIS, IN

Past

September 9, 2013 - April 7, 2014

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

INDIANAPOLIS, IN

Past

April 10, 2012 - April 7, 2014

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

INDIANAPOLIS, IN

Past

May 23, 2008 - May 23, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

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".

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 286151 / SEC#: 801-130748

RIA

Registered Investment Advisory firm - (7/24/2024 Approved)

Illinois

Registered Investment Advisory firm - (8/19/2024 Terminated)

Indiana

Registered Investment Advisory firm - (8/21/2024 Terminated)

Kansas

Registered Investment Advisory firm - (8/19/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (8/20/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/19/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/19/2024 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.

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

State Security Law Exam

IAR

Series 66

Date: 9/9/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2008

General Securities Representative Examination

Current Firm

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 286151 / SEC#: 801-130748

RIA

Registered Investment Advisory firm - (7/24/2024 Approved)

Illinois

Registered Investment Advisory firm - (8/19/2024 Terminated)

Indiana

Registered Investment Advisory firm - (8/21/2024 Terminated)

Kansas

Registered Investment Advisory firm - (8/19/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (8/20/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/19/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/19/2024 Terminated)

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Contact information

Main Address

Westfield, IN

Mailing Address

275 Medical Dr. #4356, Carmel, IN 46082

Phone number

(317) 706-4748

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-28 INTEGRATED PLANNING & WEALTH MANAGEMENT FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 80,397,503

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

Joshua M. Helms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2013

Series 63

Date: 6/12/2008

SIE

Date: 2/9/2018

Series 7

Date: 5/22/2008

Current Firm

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTEGRATED PLANNING & WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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