John E. Heldman

TRIAD INVESTMENT MANAGEMENT

Newport Beach, CA 92660

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CRD#: 3276168

Professional summary

John Edward Heldman, CFA is a registered financial advisor currently at TRIAD INVESTMENT MANAGEMENT, LLC located in Newport Beach, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Heldman's CRS (Customer Relationship Summary).

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®

CFA

Chartered Financial Analyst

Experience

Current

April 14, 2008 - Present

TRIAD INVESTMENT MANAGEMENT, LLC

Office #1: 1301 Dove Street Suite 1080, Newport Beach, CA 92660

RIA

CRD#: 146786

Newport Beach, CA

Past

March 28, 2005 - March 11, 2008

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEWPORT BEACH, CA

Past

March 28, 2005 - March 11, 2008

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEWPORT BEACH, CA

Past

October 21, 2003 - December 14, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 14, 1999 - October 21, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

August 9, 1999 - December 7, 2004

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

LOS ANGELES, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(4/14/2008)

IAR

Texas
(7/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/13/1999

General Securities Representative Examination

Current Firm

TRIAD INVESTMENT MANAGEMENT, LLC

CRD#: 146786 / SEC#: 801-68966

RIA

Registered Investment Advisory firm - (7/3/2023 Terminated)

California

Registered Investment Advisory firm - (6/27/2023 Approved)

Texas

Registered Investment Advisory firm - (7/5/2023 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1301 Dove Street Suite 1080, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 679-3991

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 96,755,895

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.

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John E. Heldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Heldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD INVESTMENT MANAGEMENT, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

DEUTSCHE BANK SECURITIES INC.

DEAM INVESTOR SERVICES, INC.

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1999

Series 7

Date: 10/13/1999

Current Firm

TRIAD INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRIAD INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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