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HH

Hugh Alexander Helmly Jr

CRD# 717393·Registered 1980 - 1990
Previously Registered: Being a previously registered professional could mean that Hugh 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.

Professional Summary

Hugh Alexander Helmly JR, who also goes by Hugh Alexander Helmly, Hugh Alexander Hemly Jr, was a registered financial advisor. Hugh was a previously registered financial professional and started their career in finance 1980 - 1990. Hugh had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hugh Alexander Helmly, Hugh Alexander Hemly Jr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

46 years in the financial services industry

Current & Past Employments

BARKLEY-LOCKMAN INVESTMENTS INC.·CRD# 21933
BD
June 27, 1989 - August 23, 1990
ATLANTA OIL & GAS INVESTMENTS, INC.·CRD# 20701
BD
January 25, 1988 - July 19, 1988
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
October 23, 1980 - April 14, 1987

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Current Firm

BI
BARKLEY-LOCKMAN INVESTMENTS INC.

ADVANCED OPTIONS, A CALIFORNIA LIMITED PARTNERSHIP | COMSTOCK FINANCIAL SERVICES INC. | BARKLEY-LOCKMAN INVESTMENTS INC.

CRD#: 21933 / SEC#: 8-39391
BD
Cancelled by FINRA on 03/24/1992

Contact Information

Established

North Carolina since 01/12/1988

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1980About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1984About the Series 24 exam

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CRS (Client Relationship Summary)

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

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HH
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