Helen H. Yang
Professional summary
Helen H Yang, who also goes by Helen H Yang, Helen Haiyiene Yang, Helen Haiyiene Yang, Helen Yang, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Minneapolis, Minnesota.
Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Helen has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Helen H Yang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Helen H Yang's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415December 21, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415May 19, 2022 - June 16, 2022
CETERA WEALTH SERVICES, LLC
May 19, 2022 - June 16, 2022
CETERA WEALTH SERVICES, LLC
May 28, 2020 - May 6, 2021
AVANTAX ADVISORY SERVICES
May 28, 2020 - May 6, 2021
AVANTAX INVESTMENT SERVICES, INC.
February 14, 2019 - May 27, 2020
CHARLES SCHWAB & CO., INC.
February 14, 2019 - May 27, 2020
CHARLES SCHWAB & CO., INC.
February 9, 2017 - February 6, 2019
AVANTAX ADVISORY SERVICES
February 9, 2017 - February 6, 2019
AVANTAX INVESTMENT SERVICES, INC.
August 19, 2016 - November 8, 2016
CHARLES SCHWAB & CO., INC.
August 19, 2016 - November 8, 2016
CHARLES SCHWAB & CO., INC.
October 23, 2009 - May 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 27, 2006 - November 8, 2007
TD AMERITRADE, INC.
September 30, 2005 - January 30, 2006
TD AMERITRADE CLEARING, INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2022)
(12/21/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
