Helen E. Kerz
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 Elisabeth Kerz, who also goes by Helen Giarrusso, Helen Kerz, Helen Elisabeth Troiana, Helen Elizabeth Troiana, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1999. Helen had worked at 21 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2017 - July 6, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - July 6, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
April 13, 2017 - August 18, 2017
FINANCIAL WEST GROUP
April 13, 2017 - August 18, 2017
FINANCIAL WEST GROUP
June 22, 2016 - January 23, 2017
SCF INVESTMENT ADVISORS, INC.
June 22, 2016 - January 23, 2017
SCF SECURITIES, INC.
April 7, 2015 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
April 7, 2015 - April 25, 2016
VSR FINANCIAL SERVICES, INC.
April 7, 2015 - April 25, 2016
SUMMIT BROKERAGE SERVICES, INC.
April 7, 2015 - April 25, 2016
LEGEND EQUITIES CORPORATION
April 7, 2015 - April 25, 2016
INVESTORS CAPITAL CORP.
April 7, 2015 - April 25, 2016
GIRARD SECURITIES, INC.
April 7, 2015 - April 25, 2016
FIRST ALLIED SECURITIES, INC.
November 25, 2014 - April 25, 2016
CETERA WEALTH SERVICES, LLC
September 25, 2013 - April 25, 2016
CETERA INVESTMENT SERVICES LLC
September 25, 2013 - April 25, 2016
CETERA FINANCIAL SPECIALISTS LLC
July 5, 2013 - April 25, 2016
CETERA ADVISORS LLC
February 22, 2011 - April 25, 2016
CETERA WEALTH SERVICES, LLC
December 21, 2007 - March 8, 2011
LPL FINANCIAL LLC
May 31, 2006 - July 16, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 2004 - March 7, 2006
NEWPORT COAST SECURITIES, INC.
July 10, 2003 - September 21, 2004
MORGAN STANLEY DW INC.
May 22, 2001 - March 12, 2003
CITIGROUP GLOBAL MARKETS INC.
November 17, 2000 - March 26, 2001
LEGG MASON WOOD WALKER, INCORPORATED
September 13, 1999 - November 2, 2000
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 3/25/2024
General Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
