William Helms, financial advisor Raleigh NC
69 score

William Helms

CRD Number: 5605002
Current Firm: Capital Investment Advisory Services, LLC

William Helms (CRD# 5605002) is an Investment Advisor Representative working at Capital Investment Advisory Services, LLC in Raleigh, NC and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Ardmore Advisory & Planning Winston-salem, NC Nov 2015 - Current 2
Capital Investment Advisory Services, LLC Raleigh, NC Jan 2013 - Current 5
Capital Investment Group, Inc. Raleigh, NC Oct 2008 - Current 9
Integrated Advisory Services Winston Salem, NC Apr 2008 - Nov 2015 7
Helms Properties, Inc. Winston Salem, NC Jun 2003 - Apr 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2009
S65 NASAA Investment Advisors Law Examination Mar 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for William B. Helms
Phone Number: 919-831-2370
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    411
    MILLIONS
  • Total Number of Accounts
    2,908
    ACCOUNTS
  • Average Account Value
    $141,215
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, CA, CO, DC, FL, GA, IL, LA, MA, MD, NC, NH, NJ, NY, OH, PA, SC, TN, TX, VA, WA

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BADGES
69

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