Helen M. O'neill Friedler
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 Maureen O'neill Friedler, who also goes by Helen Maureen Friedler, Helen Oneill Friedler, Helen Friedler, Helen Maureen Lex, O'neill, Helen Maureen Oneillfriedler, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1991. Helen had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - April 25, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
April 14, 2009 - December 16, 2011
SAXONY SECURITIES, INC.
January 5, 2005 - December 31, 2008
BROKERSXPRESS LLC
April 30, 2003 - December 31, 2004
SUMMIT FINANCIAL GROUP INC
April 24, 2003 - December 31, 2004
SUMMIT BROKERAGE SERVICES, INC.
June 4, 1999 - July 23, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 10, 1991 - June 17, 1999
CIBC WORLD MARKETS CORP.
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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
