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PFS Investments Fires Helena Clemons

Helena Clemons (CRD #: 6645927), a former broker, was fired from her previous firm, according to her BrokerCheck record, accessed on May 16, 2022. Keep reading if you want to learn more about Helena Clemons’s conduct as a broker.

Discharge from PFS Investments

On March 3, 2022, PFS Investments fired Helena Clemons for allegedly engaging in outside business activities without approval from the firm.

Helena Clemons’ detailed BrokerCheck report lists four outside business activities:

  • Selling investment-related products for companies affiliated with PFS Investments
  • Offering referrals of home security and automation products, and other home-related services for Primerica Client Services
  • Partner at MBGW Global. This position involves real estate investments, as well as selling buttons and masks
  • Self-employed as a Health Insurance Agent, not related to investment

FINRA Rule 3270

FINRA Rule 3270 requires that brokers notify their firm before engaging in any business outside their firm. Brokers must inform their firm of what role they will play and what compensation they will receive from outside business activities.

Contact Kurta Law today if Helena Clements solicited you for business outside of her firm. 

Background Information

Helena Clemons has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination

She previously worked for PFS Investments (CRD#:10111).

Kurta Law Can Help

If you worked with Helena Clemons and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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