Helen S. Seestadt

GALLAGHER FIDUCIARY ADVISORS

Irvine, CA 92614

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CRD#: 4718675

Professional summary

Helen Sarah Seestadt, CFP®, who also goes by Helen Seestadt, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Irvine, California and OSAIC WEALTH, INC. located in Irvine, California.

Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Helen has worked at 11 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Helen Seestadt

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) GALLAGHER FIDUCIARY ADVISORS, LLC POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 04/01/2022 ADDRESS: 2850 Golf Road, Rolling Medows IL 60008, United States DESCRIPTION: Retirement Plan Investment Consulting (Institutional Investment Consulting)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Sarah Seestadt's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

April 22, 2022 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 2050 Main Street, Suite 1250, Irvine, CA 92614

RIA

CRD#: 146509

Irvine, CA

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2050 Main Street Suite 1250, Irvine, CA 92614

RIA

CRD#: 23131

Irvine, CA

Past

March 30, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Irvine, CA

Past

April 22, 2016 - March 31, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Irvine, CA

Past

June 23, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

IRVINE, CA

Past

February 18, 2015 - March 31, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

IRVINE, CA

Past

July 5, 2013 - February 24, 2015

OSAIC WEALTH, INC.

CRD#: 23131

NEWPORT BEACH, CA

Past

July 18, 2011 - July 12, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

NEWPORT BEACH, CA

Past

September 26, 2008 - November 22, 2011

WESTERN GROWERS FINANCIAL SERVICES, INC.

RIA

CRD#: 115115

IRVINE, CA

Past

September 26, 2008 - November 22, 2011

WESTERN GROWERS FINANCIAL SERVICES, INC.

CRD#: 115115

IRVINE, CA

Past

August 29, 2007 - June 24, 2008

COOPER MCMANUS

RIA

CRD#: 111458

IRVINE, CA

Past

August 24, 2007 - July 17, 2008

SECURITIES AMERICA, INC.

CRD#: 10205

IRVINE, CA

Past

December 7, 2004 - July 24, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MINNEAPOLIS, MN

Past

December 3, 2003 - November 8, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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

Alaska
(8/23/2024)

Arizona
(8/23/2024)

IAR

California
(4/22/2022)

California
(8/23/2024)

Colorado
(8/23/2024)

Florida
(8/23/2024)

Louisiana
(8/23/2024)

Nevada
(8/23/2024)

New Mexico
(8/23/2024)

New York
(8/23/2024)

Tennessee
(8/26/2024)

IAR

Texas
(4/22/2022)

Texas
(8/23/2024)

Washington
(8/23/2024)

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: 12/13/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/20/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/2/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/10/2010

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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 S. Seestadt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Sarah Seestadt's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

WESTERN GROWERS FINANCIAL SERVICES, INC.

WESTERN GROWERS FINANCIAL SERVICES, INC.

COOPER MCMANUS

SECURITIES AMERICA, INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2003

SIE

Date: 10/1/2018

Series 31

Date: 1/20/2004

Series 7

Date: 12/2/2003

Series 4

Date: 8/10/2010

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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