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AH

Aj Helgerson

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
Orono, MN
Some features on this profile are disabled
CRD#: 4835978
AH

Professional summary

Aj Helgerson is a registered financial advisor currently at MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST located in Orono, Minnesota and DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.

Aj is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Aj has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
Name of Other Business Jet Delivers, Inc; Is Business Investment Related? NO; Address of Other Business (City, State only) Long Lake, MN; Nature of Other Business Last Mile Delivery Service; Position Employee; Title/Relationship with Other Business Employee (Spouse Owned); Start Date August 2019; Apprx. Hours/Month 0; Number of Hours During Trading Hours 0; Description of Duties Occasional Driver During Emergency

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aj Helgerson'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®
None

Experience

Current

February 22, 2023 - Present

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

Office #2: 610 Market Street, Philadelphia, PA 19106
RIA
CRD#: 105390
Orono, MN
Current

February 22, 2023 - Present

DELAWARE DISTRIBUTORS, L.P.

Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106
BD
CRD#: 14232
Philadelphia, PA
Past

October 6, 2022 - January 19, 2023

HARTFORD FUNDS

RIA
CRD#: 147746
Orono, MN
Past

October 6, 2022 - January 19, 2023

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
WAYNE, PA
Past

April 20, 2020 - October 6, 2022

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

RIA
CRD#: 105390
PHILADELPHIA, PA
Past

July 22, 2014 - April 20, 2020

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA
CRD#: 152237
PHILADELPHIA, PA
Past

July 22, 2014 - October 6, 2022

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

January 4, 2011 - July 18, 2014

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
MCGREGGOR, MN
Past

January 4, 2011 - July 18, 2014

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

December 15, 2009 - January 10, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 2, 2009 - December 3, 2009

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
MINNEAPOLIS, MN
Past

November 12, 2008 - December 7, 2009

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
MINNEAPOLIS, MN
Past

March 26, 2007 - January 2, 2009

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

June 6, 2005 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
MINNEAPOLIS, MN
Past

March 23, 2005 - February 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MINNEAPOLIS, MN

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".
MI
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE INVESTMENT MANAGEMENT ADVISERS | MACQUARIE ASSET ADVISERS | MACQUARIE ALTERNATIVE STRATEGIES | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE INVESTMENTS FUND ADVISERS | DELAWARE CAPITAL MANAGEMENT

CRD#: 105390 / SEC#: 801-32108

RIA
Registered Investment Advisory firm - (5/31/1988 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.
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
Minnesota
(2/22/2023)
IAR
Minnesota
(2/22/2023)
RR
North Dakota
(2/22/2023)
RR
Pennsylvania
(2/22/2023)
IAR
Pennsylvania
(2/22/2023)
RR
South Dakota
(9/8/2023)
RR
Wisconsin
(2/22/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/4/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CPG FUND ADVISERS | VANTAGE INVESTMENT ADVISERS | MACQUARIE PRIVATE FUND ADVISERS | MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST | MACQUARIE INVESTMENT MANAGEMENT ADVISERS | MACQUARIE ASSET ADVISERS | MACQUARIE ALTERNATIVE STRATEGIES | DELAWARE MANAGEMENT COMPANY | DELAWARE MANAGEMENT BUSINESS TRUST | DELAWARE LINCOLN INVESTMENT ADVISERS | DELAWARE LINCOLN CASH MANAGEMENT | DELAWARE INVESTMENTS FUND ADVISERS | DELAWARE CAPITAL MANAGEMENT

CRD#: 105390 / SEC#: 801-32108

RIA
Registered Investment Advisory firm - (5/31/1988 Approved)
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Contact information

Main Address
610 Market Street, Philadelphia, PA 19106
Mailing Address
Phone number
(215) 255-2300
Established
Firm type
Fiscal year end
# of Employees
598

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST FORM ADV-PART 2A BROCHURE (6/27/2025)

Regulatory assets under management

Total Number of Accounts317
AUM (Assets Under Management)$ 164,320,917,908

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.

Company Information

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

CRD#: 105390Orono, MN

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