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Allen Wayne Helm

Fidelity Brokerage Services LLC

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About Allen Wayne Helm

Allen Wayne Helm is a financial professional with over 30 years of experience in the industry. Currently registered with Fidelity Brokerage Services LLC, Allen has held positions at several prominent firms, including Charles Schwab & Co., Inc., OPTIONSXPRESS, INC., and Prudential Securities Incorporated. Allen's expertise encompasses various financial products and services, as evidenced by their licenses and registrations. Allen is committed to providing comprehensive and personalized financial guidance to their clients.

Firm Information

Allen Helm is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Helm’s Registration & Firm History

TX

04/22/2013 - Present

Fidelity Brokerage Services LLC (DALLAS TX)

CO

09/05/2012 - 04/02/2013

OPTIONSXPRESS, INC. (ENGLEWOOD CO)

CO

10/27/1997 - 04/02/2013

CHARLES SCHWAB & CO., INC. (ENGLEWOOD CO)

TX

08/09/1994 - 11/21/1995

CARR-FRIESENHAHN & COMPANY, INC. (SISTERDALE TX)

NY

06/18/1993 - 07/29/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MI

10/02/1991 - 07/01/1993

OLDE DISCOUNT CORPORATION (DETROIT MI)

NA

05/31/1991 - 01/09/1992

CHELSEA STREET SECURITIES, INC.

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Licenses & Designations

IA

Issued 12/21/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/05/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/09/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/09/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/05/1993

Series 3 - National Commodity Futures Examination

BC

Issued 05/29/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Allen Wayne Helm.
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