PH
Paul D. Helfman
CETERA INVESTMENT ADVISERS LLC
MISSION VIEJO, CA
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CRD#: 2940484
PH
Professional summary
Paul David Helfman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mission Viejo, California and CETERA WEALTH SERVICES, LLC located in Mission Viejo, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)Fiduciary Appointment Trustee Mission Viejo CA 92691 4/1/2008~1hrs~I'm the trustee in charge of following the trust documents 2)Fiduciary Appointment Trustee Mission Viejo CA 92691 4/1/2012~2hrs~I'm the trustee in charge of following the trust documents 3)Fiduciary Appointment Trustee Mission Viejo CA 92691 7/29/2006~1hrs~I'm the trustee in charge of following the trust documents 4) Fiduciary Appointment Trustee Mission Viejo CA 92691 12/6/2016~10hrs~I 'm the trustee in charge of following the trust documents. 5)Fiduciary Appointment Trustee Mission Viejo CA 7/29/2006~1hrs 8)Fiduciary Appointment Trustee Mission Viejo CA 92691 7/29/2006~1hrs- I'm the trustee in charge of following the trust documents. 6)Helfman Financial Services Lake Forest CA 12/1/1997~15hrs~operational/marketing name only 7)HDRP, LLC Mission Viejo CA Director/Officer 11/1/2012~5hrs~5hrs~Payroll Tax Service 8)Trustee/Wayne Fish Survivors Tr DTD 5/7/98 Lake Forest CA 92630 Professional Services-Business/Individual 7/26/2009~2hrs~Trustee 9)Fiduciary Appointment Trustee Mission Viejo CA 92691 11/17/2017 5hrs~5hrs I am the successor trustee to the trust and I have taken over the duties of paying bills and managing trust's assets 10)fiduciary Appointment Trustee Mission Viejo CA 6/4/2018 15hrs - I'm the trustee and charged with carrying out the wishes of the grantor, collecting income and paying bills, and distributing money to the beneficiary 11)Fiduciary Appointment Trustee Mission Viejo CA 6/4/2018 15hrs - I'm the trustee & administrate the trust based on the wish of grantor. Collect income, pay bills, and distribute money to the beneficiaries 15)Fiduciary Appointment Trustee Mission Viejo CA 6/4/2018~15hrs-I'm the trustee of the trust. Administrative the trust by paying bills, collecting income & distributing money to beneficiary 16)Fiduciary Appointment Trustee Mission Viejo CA 6/4/2018~15hrs~I'm the trustee of the trust. I administrate the trust based on trust instructions. I pay bills, collect income & distribute money to beneficiary 17)THE STERNE FAMILY TRUST B POSITION: Trustee NATURE: This is an Irrevocable bypass Trust. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/20/2020 Mission Viejo CA 926912781, DESCRIPTION: I became trustee of the this trust at the passing of the original trustee. Job is to gather all the assets & to distribute those assets to the beneficiaries. 18)STERNE FAMILY TRUST POSITION: Trustee NATURE: This is an Irrevocable Trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/20/2020 Mission Viejo CA 926912781, I'm taking over as trustee from the original trustee who passed away. Job is to gather all assets & distribute the assets to the beneficiaries of the trust. 19)HELFMAN, DAVIS & Associates. President NATURE: CPA firm providing accounting and tax services INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START 08/25/2021 Mission Viejo CA I am president and/or managing partner 20) ROADMAP WEALTH MANAGEMENT Agent; Roadmap Wealth Management is a Investment Advisor licensed by Avantax; IR; 8; 8; 07/01/2023; 25950 Acero Street, Suite 370, Mission Viejo CA 926912781; US; My duties will be to provide investment advisory services to the clients using my securities and insurance licenses. 21) IAN H HEATH TRUST P1SITION: Trustee NATURE: Trust Administration INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/16/2024 ADDRESS: 25950 Acero, Mission Viejo CA 92691, United States DESCRIPTION: I am trustee and I am liquidating assets and distributing them to the beneficiaries
CRS (Client Relationship Summary) - RIA
Click below to view Paul David Helfman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MISSION VIEJO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 25950 Acero Ste 370, Mission Viejo, CA 92691BD
CRD#: 13572
Mission Viejo, CA
Past
February 23, 2000 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Mission Viejo, CA
Past
December 24, 1997 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mission Viejo, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Montana(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
