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Helen Elizabeth Andreoli

Helen E. Andreoli

GREAT DIAMOND PARTNERS
Portland, ME 04101
Some features on this profile are disabled
CRD#: 4211137
Helen Elizabeth Andreoli

Professional summary

Helen Elizabeth Andreoli, CFP®, who also goes by Helen Elizabeth Andreoli Mrs., Helen Elizabeth Leadley Ms., is a registered financial advisor currently at GREAT DIAMOND PARTNERS, LLC located in Portland, Maine.

Helen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Helen has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 31, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Helen Elizabeth Andreoli Mrs. | Helen Elizabeth Leadley Ms.

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) Independent Licensed Insurance Agent/ Portland, Maine/ Non - Investment Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Elizabeth Andreoli'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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

May 9, 2019 - Present

GREAT DIAMOND PARTNERS, LLC

Office #1: 22 Monument Square Suite 300, Portland, ME 04101
RIA
CRD#: 299598
Portland, ME
Past

November 3, 2011 - May 20, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PORTLAND, ME
Past

November 3, 2011 - May 20, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PORTLAND, ME
Past

March 3, 2006 - November 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PORTLAND, ME
Past

March 3, 2006 - November 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PORTLAND, ME
Past

May 14, 2002 - March 6, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PORTLAND, ME
Past

August 4, 2000 - March 6, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
GD
GREAT DIAMOND PARTNERS, LLC
GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA
Registered Investment Advisory firm - (5/9/2019 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.

Highlighted states indicate IAR registrations

IAR
Maine
(5/9/2019)
IAR
Texas
(11/2/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/21/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 7/25/2000
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/16/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/16/2003
General Securities Sales Supervisor - Options Module Examination

Current Firm

GD
GREAT DIAMOND PARTNERS, LLC
GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA
Registered Investment Advisory firm - (5/9/2019 Approved)
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Contact information

Main Address
22 Monument Square Suite 300, Portland, ME 04101
Mailing Address
Phone number
(207) 274-2500
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GREAT DIAMOND PARTNERS LLC (3/4/2025)

Regulatory assets under management

Total Number of Accounts1,618
AUM (Assets Under Management)$ 613,396,493

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.

Company Information

GREAT DIAMOND PARTNERS, LLC

CRD#: 299598Portland, ME 04101

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