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HO

Helena M. Openshaw

SIDOTI & COMPANY
New York, NY 10036
Some features on this profile are disabled
CRD#: 1123234
HO

Professional summary

Helena Marie Openshaw is a registered financial professional currently at SIDOTI & COMPANY, LLC located in New York, New York.

Helena is registered as a RR (Registered Representative) and started their career in finance in 1983. Helena has worked at 2 firms and has passed the Series 65, Series 63, Series 16 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Helena Marie Openshaw'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®
None

Experience

Current

August 27, 2014 - Present

SIDOTI & COMPANY, LLC

Office #1: 1177 Avenue Of Americas Floor 5, New York, NY 10036Office #2: 1177 Avenue Of Americas Floor 5, New York, NY 10036
BD
CRD#: 102860
New York, NY
Past

May 9, 1983 - October 24, 1986

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/7/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 8/25/2014
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 6
Date: 5/5/1983
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SIDOTI & COMPANY, LLC
SIDOTI & COMPANY, LLC | SIDOTI RESEARCH SERVICES, LLC | SIDOTI RESEARCH SERVICES

CRD#: 102860 / SEC#: , 8-52141

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1177 Avenue Of Americas Floor 5, New York, NY 10036
Mailing Address
P.o. Box 5337, New York, NY 10185
Phone number
(212) 297-0001
Established
Delaware since 03/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SIDOTI HOLDING COMPANY, LLCSOLE MEMBER
FISCHER, HOWARD STEVENFINOP / PFO / PPO1637077
SIDOTI, PETER THOMASCEO, CCO1359648

Disclosures

Regulatory Event3

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.

Company Information

SIDOTI & COMPANY, LLC

CRD#: 102860New York, NY 10036

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