GP
Georg H. Puettner
BAADER HELVEA
Unterschleissheim, 85716
Some features on this profile are disabled
CRD#: 4680066
GP
Professional summary
Georg Helmut Puettner is a registered financial professional currently at BAADER HELVEA INC. .
Georg is registered as a RR (Registered Representative) and started their career in finance in 2004. Georg has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 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) - BD
Click below to view Georg Helmut Puettner'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®
NoneExperience
Current
May 10, 2016 - Present
BAADER HELVEA INC.
Office #1: Weihenstephaner Strasse 4, Unterschleissheim 85716BD
CRD#: 132007
Unterschleissheim,
Past
May 6, 2010 - July 2, 2010
UNICREDIT CAPITAL MARKETS LLC
BD
CRD#: 7789
NEW YORK, NY
Past
May 18, 2004 - April 30, 2010
UNICREDIT CAPITAL MARKETS LLC
BD
CRD#: 7789
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alaska(5/30/2016)
RR
Arizona(6/2/2016)
RR
California(5/30/2016)
RR
Colorado(5/10/2016)
RR
Connecticut(5/10/2016)
RR
Delaware(5/30/2016)
RR
District of Columbia(5/10/2016)
RR
Florida(5/10/2016)
RR
Georgia(5/30/2016)
RR
Illinois(5/11/2016)
RR
Indiana(5/30/2016)
RR
Iowa(5/30/2016)
RR
Kansas(5/30/2016)
RR
Kentucky(5/30/2016)
RR
Maryland(5/10/2016)
RR
Massachusetts(5/30/2016)
RR
Michigan(5/30/2016)
RR
Minnesota(5/30/2016)
RR
Nevada(5/30/2016)
RR
New Hampshire(5/30/2016)
RR
New Jersey(5/30/2016)
RR
New Mexico(5/30/2016)
RR
New York(5/30/2016)
RR
North Carolina(5/31/2016)
RR
Ohio(5/10/2016)
RR
Oregon(5/30/2016)
RR
Pennsylvania(5/30/2016)
RR
Rhode Island(5/30/2016)
RR
South Carolina(5/30/2016)
RR
Texas(5/30/2016)
RR
Utah(5/30/2016)
RR
Vermont(5/10/2016)
RR
Virginia(5/30/2016)
RR
Washington(5/30/2016)
RR
West Virginia(5/30/2016)
RR
Wisconsin(5/30/2016)
RR
Wyoming(5/30/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BAADER HELVEA INC.
BAADER HELVEA INC. | HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
420 Lexington Avenue Suite 804, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 804, New York, NY 10170
Phone number
(212) 935-5150
Established
Delaware since 01/07/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
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.
