Steven A. Helland
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.
Steven A Helland, who also goes by Steven Anthony Helland, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 10 firms and has passed the Series 63, Series 65, Series 82TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2022 - January 8, 2026
FINALIS SECURITIES LLC
November 2, 2021 - December 9, 2021
FRONTIER SECURITIES
October 2, 2013 - July 31, 2015
ESPOSITO PARTNERS, LLC
December 22, 2012 - January 3, 2013
CAPFI PARTNERS LLC
December 22, 2012 - July 31, 2015
ESPOSITO SECURITIES, LLC
September 24, 2004 - March 28, 2013
SSR CAPITAL PARTNERS, LP
December 2, 2002 - March 28, 2003
FULCRUM GLOBAL PARTNERS LLC
February 28, 2000 - May 29, 2001
ABN AMRO SECURITIES LLC
April 21, 1987 - January 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 20, 1986 - February 18, 1987
SALOMON BROTHERS 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 82TO
Date: 11/2/2021
Limited Representative-Private Securities OfferingsCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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