Marc C. Helfrich

MARC C HELFRICH REGISTERED INVESTMENT ADVISOR

Van Alstyne, TX

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CRD#: 4564400

Professional summary

Marc Christopher Helfrich is a registered financial advisor currently at MARC C HELFRICH REGISTERED INVESTMENT ADVISOR located in Van Alstyne, Texas.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Marc has worked at 8 firms and has passed the Series 65, Series 63 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.

INSURED WEALTH MANAGEMENT - INSURANCE AGENT SINCE 07/2009 - SELLING LTC, LIFE INSURANCE, FIXED AND EQUITY INDEXED ANNUITIES THROUGH VARIOUS CARRIERS; 6800 HERITAGE PARKWAY SUITE 203, ROCKWALL, TX 75087; SPEND 20 HOURS PER MONTH, ALL DURING SECURITIES TRADING HOURS; INVESTMENT RELATED BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Christopher Helfrich'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

April 2, 2012 - Present

MARC C HELFRICH REGISTERED INVESTMENT ADVISOR

RIA

CRD#: 160051

Van Alstyne, TX

Past

July 8, 2010 - March 15, 2012

VERITRUST FINANCIAL, LLC

RIA

CRD#: 106594

ROCKWALL, TX

Past

July 8, 2010 - March 15, 2012

VERITRUST FINANCIAL, LLC

CRD#: 106594

ROCKWALL, TX

Past

June 24, 2009 - July 9, 2010

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

DALLAS, TX

Past

June 16, 2009 - July 9, 2010

USA FINANCIAL SECURITIES LLC

CRD#: 103857

DALLAS, TX

Past

February 1, 2007 - May 28, 2009

NEW ENGLAND SECURITIES

CRD#: 615

DALLAS, TX

Past

December 2, 2005 - October 16, 2006

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

BEDFORD, TX

Past

February 25, 2004 - August 30, 2005

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

January 1, 2004 - March 10, 2004

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

May 2, 2003 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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

Texas
(4/2/2012)

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

IAR

Series 65

Date: 5/7/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/1/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARC C HELFRICH REGISTERED INVESTMENT ADVISOR

HELFRICH, MARC CHRISTOPHER | MARC C HELFRICH REGISTERED INVESTMENT ADVISOR | INSURED WEALTH MANAGEMENT

CRD#: 160051 / SEC#:

Texas

Registered Investment Advisory firm - (3/26/2012 Approved)

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Contact information

Main Address

375 County Road 80., Van Alstyne, TX 75495

Mailing Address

P. O. Box 908, Van Alstyne, TX 75495

Phone number

(972) 767-8370

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 30,000,000

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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Firm Stability Insights

Marc C. Helfrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Christopher Helfrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERITRUST FINANCIAL, LLC

VERITRUST FINANCIAL, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

NEW ENGLAND SECURITIES

FORESTERS EQUITY SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL BROKERAGE CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2009

Series 63

Date: 5/7/2003

Series 6

Date: 5/1/2003

Current Firm

MARC C HELFRICH REGISTERED INVESTMENT ADVISOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARC C HELFRICH REGISTERED INVESTMENT ADVISOR

TRUST BUT VERIFY

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