Helen Stephens has been President, Chief Compliance Officer of Aspen Wealth Management since May 2011, is a control person of the firm and directly owns between 50% and 75% of it.
Aspen Wealth Management, LLC is a Fort Worth, TX firm with $658M under management, 353 clients and 6 advisers across 2 offices, as of its April 2026 filing.
Helen Stephens’ longest registration is the current one, 14 years at Aspen Wealth Management since 2012. Before joining Aspen Wealth Management in 2012, Helen Stephens was registered through Pacific West Financial Consultants Inc and Dewaay Advisory.
- Cetera Advisors LLC– · 1 yearFort Worth, TX · Adviser representative · Firm CRD 10299
- Aspen Wealth Management, LLCCurrent– present · 14 yearsFort Worth, TX · Adviser representative · Firm CRD 159594
- Pacific West Financial Consultants Inc– · under a yearRenton, WA · Adviser representative · Firm CRD 108728
- Dewaay Advisory– · 1 yearFort Worth, TX · Adviser representative · Firm CRD 144449
- H.D. Vest Advisory Services, Inc– · 1 yearFort Worth, TX · Adviser representative · Firm CRD 104556
Investment adviser representative registrations
Helen Stephens is registered as an investment adviser representative in Texas, since February 2012.
- TexasSince 17 February 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 3 October 2010 |
| Series 62 | Corporate Securities Limited Representative Examination | 21 June 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 July 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 July 2008 |
- Name
- General Securities Representative Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Helen Barbre Stephens
- CRD
- 2421457
- Firm
- Aspen Wealth Management · CRD 159594
- Role
- President, Chief Compliance Officer
- Office
- 4200 S. HULEN ST., SUITE 422, Fort Worth, TX 76109
- Registration
- Investment adviser registration
- In the industry since
- October 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Helen Stephens work?
Helen Stephens has been President, Chief Compliance Officer of Aspen Wealth Management, LLC since May 2011, and is a control person of the firm.
Is Helen Stephens a financial advisor?
Yes. Helen Stephens has a current investment-adviser registration in Texas, through Aspen Wealth Management since February 2012.
How many years of experience does Helen Stephens have?
Helen Stephens has 18 years in the financial industry, since October 2008, across 5 adviser firms.
What exams has Helen Stephens passed?
Helen Stephens has passed 4 licensing exams: the Series 63, Series 6, Series 62 and Series 7. The earliest, the Series 63, was passed in July 2008.
Where did Helen Stephens work before Aspen Wealth Management?
Before Aspen Wealth Management, Helen Stephens was registered through Dewaay Advisory, May 2010 to September 2011; H.D. Vest Advisory Services, Inc, September 2008 to May 2010.
Where is Helen Stephens based?
Helen Stephens’ registered office is in Fort Worth, TX.
Is Helen Stephens registered with FINRA?
No. Helen Stephens has no current broker registration.
How can I verify Helen Stephens’ record?
Search CRD 2421457 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Helen Stephens’ full registration record.
