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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

PAULA MICHELLE HELMS

Advisor at OSAIC WEALTH, INC.

FRONTENAC, KS

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Search this name across graphsid dfx:ria:3787e1a2-59b2-bb99-c3bd-d36c5a759b18

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 11, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 31, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 31, 2000
First registration: Aug 11, 2004
Dual registered: yes, broker-dealer
Other names: PAULA M. HELMS
IAPD individual key: 4163573

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	n/a	yes	FRONTENAC, KS	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2008	Sep 1, 2023	no	FRONTENAC, KS	Previous registration
AMERICAN GENERAL SECURITIES INCORPORATED	n/a	Feb 2, 2005	Oct 31, 2008	no	HOUSTON, TX\|PITTSBURG, KS\|PITTSBURG, KS	Previous registration
HEARTLAND FINANCIAL ADVISORS GROUP, INC.	n/a	Aug 11, 2004	Oct 26, 2004	no	PITTSBURG, KS	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
AMERICAN GENERAL SECURITIES INCORPORATED	SAGEPOINT FINANCIAL, INC.	Oct 31, 2008	Oct 31, 2008	0	Bulk transfer	Other
HEARTLAND FINANCIAL ADVISORS GROUP, INC.	AMERICAN GENERAL SECURITIES INCORPORATED	Oct 26, 2004	Feb 2, 2005	99	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2008 to Sep 1, 2023factForm ADV
→ AMERICAN GENERAL SECURITIES INCORPORATEDRegistered adviserregistration: previous registration
Feb 2, 2005 to Oct 31, 2008factForm ADV
→ HEARTLAND FINANCIAL ADVISORS GROUP, INC.Registered adviserregistration: previous registration
Aug 11, 2004 to Oct 26, 2004factForm ADV

Dated events

No dated event names this entity yet.