MH

Michael A. Helmuth

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CRD#: 4635508
MH

Professional summary


Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Allen Helmuth was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.

Question & Answer


Are you a "fiduciary"?
No

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

July 21, 2010 - June 28, 2012

HELMUTH INVESTMENTS, LLC

RIA
CRD#: 153932
BARRINGTON, IL
Past

June 3, 2008 - November 27, 2009

STONE & YOUNGBERG LLC

BD
CRD#: 795
CHICAGO, IL
Past

September 14, 2006 - October 31, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
CHICAGO, IL
Past

April 7, 2003 - August 30, 2006

RELIANT TRADING

BD
CRD#: 32496
ST. FRANCIS, WI
Past

March 18, 2003 - August 31, 2006

SHEPHERD TRADING LIMITED

BD
CRD#: 39591
ST. FRANCIS, WI

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


HI
HELMUTH INVESTMENTS, LLC
HELMUTH INVESTMENTS, LLC

CRD#: 153932 / SEC#:

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Contact information


Main Address
1250 South Grove Avenue Suite 200, Barrington, IL 60010
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Red Flags


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Company Information


HELMUTH INVESTMENTS, LLC

CRD#: 153932

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