Helen M. Ross
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 Marie Ross, who also goes by H Marie Ross, was a registered financial professional .
Helen is a previously registered financial professional and started their career in finance in 1994. Helen had worked at 6 firms and has passed the Series 66, Series 6TO, Series 52TO, SIE 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
December 15, 2023 - December 20, 2024
CETERA INVESTMENT ADVISERS LLC
December 15, 2023 - December 20, 2024
CETERA WEALTH SERVICES, LLC
February 11, 2015 - December 19, 2023
OSAIC FS, INC.
February 11, 2015 - December 19, 2023
OSAIC FS, INC.
September 3, 2013 - February 12, 2015
CETERA WEALTH SERVICES, LLC
September 3, 2013 - February 12, 2015
CETERA WEALTH SERVICES, LLC
May 4, 2006 - September 3, 2013
WALNUT STREET SECURITIES, INC.
April 24, 2003 - November 3, 2006
WALNUT STREET ADVISERS INC
February 22, 2002 - September 3, 2013
WALNUT STREET SECURITIES, INC.
March 16, 1994 - January 29, 2002
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 6TO
Date: 12/15/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 12/15/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
