Helen H. Lin

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

ROLLING HILLS ESTATES, CA 90274

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CRD#: 4556198

Professional summary

Helen Hsi-shan Lin, who also goes by Helen H. Lin, Helen Lin, Hsi-shan Lin, is a registered financial advisor currently at SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES located in Rolling Hills Estates, California and EMERSON EQUITY LLC located in San Mateo, California.

Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Helen has worked at 9 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Helen H. Lin | Helen Lin | Hsi-Shan Lin

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) HELEN LIN SOLE PROPRIETOR-INVESTMENT RELATED, 655 DEEP VALLEY DR., STE., 125B ROLLING HILLS, CA 90274, FIXED LIFE INSURANCE & FIXED ANNUITY SALES, SOLE PROPRIETOR, INSURANCE PRODUCT SALES, 1 HR MONTHLY, 0 HRS MONTHLY DURING SECURITIES TRADING HOURS, 2015 2) HELEN HSI-SHAN LIN IS A REGISTERED REPRESENTATIVE. 3) SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES-INVESTMENT RELATED, 655 DEEP VALLEY DR.,STE. 125B ROLLING HILLS ESTATES, CA 90274, REGISTERED INVESTMENT ADVISOR FIRM, INVESTMENT ADVISOR REPRESENTATIVE, INVESTMENT MANAGEMENT, 10 HRS MONTHLY, 10 HOURS MONTHLY DURING SECURITIES TRADING HOURS, 06/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Hsi-shan Lin'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®

None

Experience

Current

July 8, 2025 - Present

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

Office #1: 655 Deep Valley Dr. Suite 125b, Rolling Hills Estates, CA 90274

RIA

CRD#: 332016

ROLLING HILLS ESTATES, CA

Current

May 30, 2025 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

Past

August 21, 2017 - May 30, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Rolling Hills Estates, CA

Past

August 21, 2017 - May 30, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Rolling Hills Estates, CA

Past

September 23, 2015 - August 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

Pasadena, CA

Past

September 23, 2015 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

Pasadena, CA

Past

December 2, 2011 - September 26, 2015

FIRST BROKERAGE AMERICA, L.L.C.

RIA

CRD#: 43431

ROWLAND HEIGHTS, CA

Past

June 19, 2007 - September 26, 2015

FIRST BROKERAGE AMERICA, L.L.C.

CRD#: 43431

ROWLAND HEIGHTS, CA

Past

June 8, 2005 - November 20, 2006

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

PASADENA, CA

Past

June 8, 2005 - November 20, 2006

CITICORP INVESTMENT SERVICES

CRD#: 23988

PASADENA, CA

Past

July 30, 2003 - May 19, 2005

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

TEMPLE CITY, CA

Past

July 30, 2003 - May 19, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 11, 2002 - August 4, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LOS ANGELES, CA

Past

October 11, 2002 - August 4, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 11, 2002 - August 4, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

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

California
(5/30/2025)

IAR

California
(7/8/2025)

Florida
(5/30/2025)

Hawaii
(7/25/2025)

Nevada
(7/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

CRD#: 332016 / SEC#:

California

Registered Investment Advisory firm - (11/22/2024 Approved)

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Contact information

Main Address

655 Deep Valley Dr. Suite 125b, Rolling Hills Estates, CA 90274

Mailing Address

Phone number

(818) 469-3521

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Helen H. Lin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Hsi-shan Lin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FIRST BROKERAGE AMERICA, L.L.C.

FIRST BROKERAGE AMERICA, L.L.C.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/10/2002

FINRA

Current Firm

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

Contact information

Documents

Red Flags

Company Information

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

TRUST BUT VERIFY

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