HS
Helene Shafiyan
WEDBUSH SECURITIES
Cleveland, OH 44115
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CRD#: 1086870
HS
Professional summary
Helene Shafiyan, who also goes by Helene Kerner, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Cleveland, Ohio.
Helene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Helene has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Helene Kerner
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Goodman Wealth Advisors; Investment Related; Cleveland, OH; DBA for Wedbush Securities business; IFON Financial Advisor; Approx: 40 hours weekly, during business hours. Start: 9/2025; Duties: DBA for Wedbush Securities business, offers securities and advisory services.
CRS (Client Relationship Summary) - RIA
Click below to view Helene Shafiyan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Helene Shafiyan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 3, 2025 - Present
WEDBUSH SECURITIES INC.
Office #1: 1255 Euclid Ave, Suite 500, Cleveland, OH 44115RIA
BD
CRD#: 877
Cleveland, OH
Current
September 3, 2025 - Present
WEDBUSH SECURITIES INC.
Office #1: 1255 Euclid Ave, Suite 500, Cleveland, OH 44115RIA
BD
CRD#: 877
Cleveland, OH
Past
December 23, 2019 - September 4, 2025
MCDONALD PARTNERS LLC
RIA
CRD#: 135414
CLEVELAND, OH
Past
December 7, 2012 - September 4, 2025
MCDONALD PARTNERS LLC
BD
CRD#: 135414
CLEVELAND, OH
Past
January 27, 2012 - December 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CLEVELAND, OH
Past
January 26, 2012 - December 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CLEVELAND, OH
Past
November 2, 2009 - December 31, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
MAYFIELD HEIGHTS, OH
Past
October 30, 2009 - December 31, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MAYFIELD HEIGHTS, OH
Past
June 1, 2009 - November 23, 2009
MORGAN STANLEY
RIA
CRD#: 149777
CLEVELAND, OH
Past
June 1, 2009 - November 23, 2009
MORGAN STANLEY
BD
CRD#: 149777
CLEVELAND, OH
Past
February 15, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CLEVELAND, OH
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CLEVELAND, OH
Past
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 15, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
March 19, 1984 - April 10, 1986
PERSHING LLC
BD
CRD#: 7560
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Ohio(9/3/2025)
IAR
Ohio(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
