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DH

Daniel S. Hellen

Some features on this profile are disabled
CRD#: 2339553
DH

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.

Daniel Sebastian Hellen was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 9 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 19, 1997 - November 26, 1997

WEST AMERICA SECURITIES CORP

BD
CRD#: 35035
LAS VEGAS, NV
Past

March 18, 1997 - April 11, 1997

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

February 4, 1997 - March 19, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

September 19, 1996 - February 14, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 9, 1996 - October 11, 1996

SMITH, BENTON & HUGHES, INC.

BD
CRD#: 20877
LOS ANGELES, CA
Past

August 11, 1995 - April 10, 1996

STERLING FOSTER & COMPANY, INC.

BD
CRD#: 36052
UNIONDALE, NY
Past

May 9, 1995 - July 20, 1995

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

October 7, 1994 - May 11, 1995

STERLING FOSTER & COMPANY, INC.

BD
CRD#: 36052
UNIONDALE, NY
Past

March 23, 1994 - June 23, 1994

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

June 23, 1993 - April 8, 1994

RUSSO SECURITIES INC.

BD
CRD#: 14425
STATEN ISLAND, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/1993
General Securities Representative Examination

Current Firm

WA
WEST AMERICA SECURITIES CORP
NO LONGER APPLICABLE | WEST AMERICA SECURITIES CORP

CRD#: 35035 / SEC#: , 8-46494

BD
Terminated by SEC on 10/02/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 11/26/1991
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KAY, ROBERT BRIANPRESIDENT, CEO, CCO & FINOP1133657
MID AMERICA CAPITAL CORP.HOLDING COMPANY

Disclosures

Regulatory Event6
Arbitration4

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.

Company Information

WEST AMERICA SECURITIES CORP

CRD#: 35035

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