Thomas C. Helbig
Professional summary
Thomas Charles Helbig was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Thomas had worked at 10 firms, which includes FORTUNE FINANCIAL SERVICES INC., PLANMEMBER SECURITIES CORPORATION, SSN ADVISORY INC., SECURITIES SERVICE NETWORK LLC, TRIAD ADVISORS LLC, SECURITIES AMERICA INC., RAYMOND JAMES FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2006 - May 18, 2007
FORTUNE FINANCIAL SERVICES, INC.
February 13, 2006 - June 8, 2006
PLANMEMBER SECURITIES CORPORATION
February 13, 2006 - June 8, 2006
PLANMEMBER SECURITIES CORPORATION
June 13, 2003 - January 31, 2006
SSN ADVISORY, INC.
June 4, 2003 - January 31, 2006
SECURITIES SERVICE NETWORK, LLC
October 2, 2001 - May 12, 2003
TRIAD ADVISORS LLC
January 9, 1995 - September 11, 2001
SECURITIES AMERICA, INC.
November 9, 1989 - January 3, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 17, 1988 - November 3, 1989
IDS LIFE INSURANCE COMPANY
May 17, 1988 - November 3, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 1982 - June 22, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 8
Date: 4/29/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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