Helena E. Brady
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.
Helena E Brady, who also goes by Helena Elizabeth Brady, was a registered financial professional .
Helena is a previously registered financial professional and started their career in finance in 1997. Helena had worked at 9 firms and has passed the Series 66, Series 63 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
September 20, 2010 - September 4, 2013
WALNUT STREET SECURITIES, INC.
September 20, 2010 - September 4, 2013
TOWER SQUARE SECURITIES, INC.
September 20, 2010 - August 4, 2014
NEW ENGLAND SECURITIES
September 20, 2010 - August 4, 2014
MSI FINANCIAL SERVICES, INC.
March 27, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 2007 - September 4, 2013
WALNUT STREET SECURITIES, INC.
March 27, 2007 - September 4, 2013
TOWER SQUARE SECURITIES, INC.
March 27, 2007 - August 4, 2014
NEW ENGLAND SECURITIES
March 27, 2007 - August 4, 2014
MSI FINANCIAL SERVICES, INC.
October 8, 2003 - October 10, 2006
WALNUT STREET SECURITIES, INC.
October 8, 2003 - October 10, 2006
NEW ENGLAND SECURITIES
October 8, 2003 - October 10, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 8, 2003 - October 10, 2006
MSI FINANCIAL SERVICES, INC.
March 13, 2003 - July 11, 2003
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
May 24, 2001 - February 25, 2003
APEX CLEARING CORPORATION
September 15, 1999 - May 8, 2000
CITIGROUP GLOBAL MARKETS INC.
July 1, 1997 - September 8, 1999
LEHMAN BROTHERS 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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
