William J. Helm
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.
William James Helm, who also goes by Bill Helm, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 4 firms and has passed the Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1993 - December 31, 1997
RETIREMENT INVESTMENT GROUP
September 10, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
September 27, 1989 - October 29, 1990
QUEST CAPITAL STRATEGIES, INC.
June 16, 1982 - August 13, 1987
AMERICAN TRIANGLE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 40
Date: 10/30/1978
Registered Principal ExaminationCurrent Firm
RETIREMENT INVESTMENT GROUP
CRD#: 7421 / SEC#: , 8-23050
Contact information
Documents
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.
