HD
Helen J. Davis
LIFEMARK SECURITIES
Dublin, OH
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CRD#: 1353380
HD
Professional summary
Helen Julia Davis, CFP®, who also goes by Helen Julia Berning, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Dublin, Ohio.
Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Helen has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Helen Julia Berning
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.
DBA OF DAVIS FINANCIAL MANAGEMENT GROUP USED FOR SECURITIES BUSINESS ALSO. 1. DAVIS FINANCIAL MGMT GROUP dba / INVESTMENT RELATED / 5650 BLAZER PARKWAY, DUBLIN, OH 43017 / INDEPENDENT INSURANCE AGENT / Began 11/2000 / 40 HOURS/MONTH / SALES AND SERVICE OF LIFE, HEALTH, ACCIDENT, LEGAL AND IDENTITY THEFT PROTECTION INSURANCE. 2. HERO MKTING GR, NON-INVST RELATED, 5650 BLAZER PARKWAY, DUBLIN, OH 43017. OWNER SINCE 4/02. 40 HRS/MO. Consulting for Marketing and Promotion. 4. SENIOR TAX STRATEGIES OF OHIO, NON-INVST RELATED, 5650 Blazer Parkway, DUBLIN, OHIO. 1/2006, OWNER, TAX PREPARATION, 16 HRS/MO, 12.8 TRADE HRS. 5. GRANDMA DAVIS LLC NON-INVST RELATED 5650 BLAZER PARKWAY, DUBLIN, OH 43017 OWNER/CHILDRENS BOOK AUTHOR STARTED 2008 2 HOURS PER WEEK 5. HELEN DAVIS FOUNDATION NON-INVST RELATED 5650 BLAZER PARKWAY, DUBLIN, OH 43017BOARD MEMBER OF NON-PROFIT STARTED 01/2009 2 HOURS PER WEEK CHARITY 6.LEGAL SHIELD, not investment related, PREPAID LEGAL ATTORNEY SERVICES/ ID THEFT COVERAGE - SALES ASSOCIATE, STARTED 09/2008 5 HRS/MONTH. 9. MARIA TIBERI FOUNDATION; PO BOX 4225 DUBLIN, OH 43017; Treasurer, BOARD MEMBER; NON-INVST RELATED; 2 HOURS PER WEEK; START DATE: 6/2015; TREASURER DUTIES, WRITE CHECKS, FILE TAX RETURNS, non profit CHARITY. 10. MEDI-SHARE-Christian Care Ministry, 4150 W Eau Gallie Blvd, Melbourne, FL 32934, AGENT, NON-INVST RELATED; 2 HOURS PER WEEK; START DATE: 12/2016; AGENT; HEALTH INSURANCE ALTERNATIVE
CRS (Client Relationship Summary) - RIA
Click below to view Helen Julia Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Helen Julia Davis'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®
CFP®
Start date: 1989
Experience
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Dublin, OH
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Dublin, OH
Past
March 31, 2009 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
HILLIARD, OH
Past
October 15, 2008 - December 31, 2008
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
HILLIARD, OH
Past
October 15, 2008 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
HILLIARD, OH
Past
May 22, 2002 - October 15, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
DUBLIN, OH
Past
November 27, 2000 - October 15, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
DUBLIN, OH
Past
August 31, 2000 - November 15, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 8, 1991 - August 31, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 18, 1989 - September 21, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
BD
CRD#: 7559
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge 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
Florida(1/4/2022)
RR
North Carolina(11/2/2018)
RR
Ohio(11/2/2018)
IAR
Ohio(11/2/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
