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RIA / WealthAdvisor27 years in industry

PETER WESTOVER HELMS

Advisor at EXETER FINANCIAL, LLC

SCOTTSDALE, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2003 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: EXETER FINANCIAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 16, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 16, 1998
First registration: Jan 17, 2003
Dual registered: no
Other names: PETER W HELMS
IAPD individual key: 3048228

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
EXETER FINANCIAL, LLC	Independent wealth	Apr 5, 2007	n/a	yes	SCOTTSDALE, AZ	Current employment
OGILVIE SECURITY ADVISORS CORP	Former SEC adviser	Oct 24, 2006	May 4, 2007	no	SCOTTSDALE, AZ	Previous registration
FBR INVESTMENT MANAGEMENT, INC.	n/a	Apr 14, 2005	Oct 10, 2006	no	ARLINGTON, VA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jan 17, 2003	Apr 1, 2005	no	SEATTLE, WA	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
OGILVIE SECURITY ADVISORS CORP	EXETER FINANCIAL, LLC	May 4, 2007	Apr 5, 2007	-29	Firm change	Other
FBR INVESTMENT MANAGEMENT, INC.	OGILVIE SECURITY ADVISORS CORP	Oct 10, 2006	Oct 24, 2006	14	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	FBR INVESTMENT MANAGEMENT, INC.	Apr 1, 2005	Apr 14, 2005	13	Firm change	Other

Relationships

Registered with (4)

→ EXETER FINANCIAL, LLCRegistered adviserregistration: current employment
Apr 5, 2007 to presentfactForm ADV
→ OGILVIE SECURITY ADVISORS CORPRegistered adviserregistration: previous registration
Oct 24, 2006 to May 4, 2007factForm ADV
→ FBR INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 14, 2005 to Oct 10, 2006factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 17, 2003 to Apr 1, 2005factForm ADV

Dated events

No dated event names this entity yet.