Helen D. Sher
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.
Helen Diane Sher, AIF®, CFP®, who also goes by Diane Sher, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1986. Helen had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - April 29, 2016
SAXONY SECURITIES, INC.
January 6, 2016 - January 16, 2020
KRILOGY
March 28, 2005 - March 7, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 30, 2003 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 30, 2003 - December 31, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 15, 2002 - June 4, 2003
MONETA GROUP INVESTMENT ADVISORS, LLC
August 19, 1986 - June 2, 2003
WS GRIFFITH SECURITIES, 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
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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