Helene Berson Postrel
Professional Summary
Helene Berson Postrel, who also goes by Helene Tracy Berson, Helene Berson, is a registered financial advisor currently at AQUILO PARTNERS, L.P. located in San Francisco, California and WOOD WARREN & CO. SECURITIES, LLC located in San Francisco, California. Helene is registered as a RR (Registered Representative) and started their career in finance in 2000. Helene has worked at 39 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Helene Tracy Berson, Helene Berson
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Current Firm
LIQUIDLY IAS, LLC
Contact Information
Main Address
40 E 83rd Street, New York, NY 10028Mailing Address
40 E 83rd Street 9th Floor, New York, NY 10028Phone Number
(914) 320-3625Established
Delaware since 12/06/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIQUIDLY, INC. | MEMBER | — |
| HARID-PAOLETTI, ANUSHA | PRESIDENT/CEO/CCO | — |
| POSTREL, HELENE BERSON | FINOP/PFO/POO | — |
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(8/25/2011)
(1/3/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2023About the Series 28 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Helene Berson Postrel's CRS (Customer Relationship Summary).
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC