Winston P. Helgesen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Winston Patton Helgesen was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1985. Winston had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2006 - July 2, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
July 24, 2006 - July 2, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
September 24, 2002 - August 3, 2006
CHARLES SCHWAB & CO., INC.
February 20, 1992 - August 3, 2006
CHARLES SCHWAB & CO., INC.
August 27, 1990 - August 28, 1991
METROPOLITAN LIFE INSURANCE COMPANY
August 27, 1990 - August 28, 1991
MSI FINANCIAL SERVICES, INC.
August 20, 1985 - August 7, 1990
GENEVA SECURITIES,INC.
May 1, 1985 - August 26, 1985
BROOKS WEINGER ROBBINS & LEEDS INC.
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 8
Date: 8/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
