Charles J. Helfrich
Professional summary
Charles Joseph Helfrich JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles Joseph Helfrich JR, who also goes by Charles Joseph Helfrich, Chuch Helfrich, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1964. Charles had worked at 20 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2003 - August 31, 2007
I.C.R. FINANCIAL CENTER, INC.
March 25, 1999 - April 6, 2001
WEST BAY FINANCIAL GROUP INCORPORATED
January 20, 1997 - July 11, 1997
PACIFIC CORNERSTONE CAPITAL INCORPORATED
February 28, 1995 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
September 21, 1994 - April 24, 1995
LACROIX ALEXANDER FINANCIAL CORP
December 4, 1993 - February 14, 1994
CHESTNUT HILL SECURITIES,INC.
November 8, 1993 - January 1, 1994
RICHARDS INVESTMENTS
March 16, 1993 - April 23, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
October 1, 1991 - January 1, 1993
MERCHANT BANKING SERVICES, INC.
March 17, 1990 - September 30, 1991
FULTON FERRACUTE CAPITAL CORP, INC.
August 31, 1989 - April 2, 1990
DIRECT EQUITIES, INC.
May 31, 1989 - June 14, 1989
CITY ASSOCIATES INVESTMENT CORPORATION
February 20, 1987 - February 4, 1988
PENSIONS PLUS, INC.
June 1, 1983 - February 5, 1988
REXPLORE SECURITIES, INC.
June 25, 1980 - March 17, 1981
GALLAGHER, BOYLAN & COOK, INC.
January 6, 1977 - October 27, 1978
HAV-SECURITIES CORPORATION
September 6, 1973 - September 20, 1975
INDUSTRY SAVINGS PLANS, INC.
December 13, 1971 - July 16, 1972
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 19, 1971 - November 26, 1971
UNITY SECURITIES CORPORATION
May 11, 1964 - December 4, 1971
EQUITY SECURITIES CORPORATION
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 1
Date: 8/9/1962
Registered Representative ExaminationCurrent Firm
I.C.R. FINANCIAL CENTER, INC.
CRD#: 30557 / SEC#: , 8-45002
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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