Robert S. Helmrich
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.
Robert Steven Helmrich JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 13 firms and has passed the Series 65, Series 63, 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
August 2, 2019 - June 12, 2020
SECURITIES AMERICA, INC.
July 5, 2016 - September 1, 2017
OSAIC INSTITUTIONS, INC.
April 23, 2008 - June 30, 2016
VOYA FINANCIAL ADVISORS, INC.
September 22, 2005 - April 1, 2008
CETERA INVESTMENT SERVICES LLC
December 3, 2004 - April 1, 2008
CETERA INVESTMENT SERVICES LLC
May 20, 2003 - December 6, 2004
INVEST FINANCIAL CORPORATION
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
September 30, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
August 2, 1996 - May 21, 2003
NATCITY INVESTMENTS, INC.
April 19, 1996 - August 27, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 19, 1996 - August 27, 1996
OSAIC FA, INC.
November 20, 1995 - March 1, 1996
FAIRCHILD FINANCIAL GROUP, INC.
October 11, 1994 - November 21, 1995
L.C. WEGARD & CO., INC.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
