Helen M. Carroll

MUSSETT WEALTH MANAGEMENT

Rensselaer, NY 12153

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CRD#: 4832733

Professional summary

Helen M Carroll, CFP® is a registered financial advisor currently at MUSSETT WEALTH MANAGEMENT, LLC located in Rensselaer, New York.

Helen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Helen has worked at 4 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen M Carroll'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: 1998

Experience

Current

April 30, 2021 - Present

MUSSETT WEALTH MANAGEMENT, LLC

Office #1: 579 North Greenbush Road, Rensselaer, NY 12153

RIA

CRD#: 158463

Rensselaer, NY

Past

October 3, 2012 - March 9, 2015

BERMAN HOPKINS RETIREMENT SOLUTIONS, LLC

RIA

CRD#: 164396

ALBANY, NY

Past

May 4, 2005 - July 31, 2009

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

CLIFTON PARK, NY

Past

March 31, 2005 - July 31, 2009

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

CLIFTON PARK, NY

Past

January 28, 2005 - March 15, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

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".

MUSSETT WEALTH MANAGEMENT, LLC

CRD#: 158463 / SEC#: 801-109015

RIA

Registered Investment Advisory firm - (1/27/2017 Approved)

New York

Registered Investment Advisory firm - (3/16/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(4/30/2021)

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: 4/14/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/27/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MUSSETT WEALTH MANAGEMENT, LLC

CRD#: 158463 / SEC#: 801-109015

RIA

Registered Investment Advisory firm - (1/27/2017 Approved)

New York

Registered Investment Advisory firm - (3/16/2017 Terminated)

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Contact information

Main Address

579 North Greenbush Road, Rensselaer, NY 12144

Mailing Address

Phone number

(518) 328-8104

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 96,152,785

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 M. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen M Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERMAN HOPKINS RETIREMENT SOLUTIONS, LLC

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

Primary Firm SEC Registration

MUSSETT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/2005

Series 63

Date: 2/17/2005

Series 6

Date: 1/27/2005

Current Firm

MUSSETT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MUSSETT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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