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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Helen Dao

Helen Dao

STIRLINGSHIRE INVESTMENTS
San Antonio, TX
Some features on this profile are disabled
CRD#: 5107692
Helen Dao

Professional summary

Helen Dao, CFP® is a registered financial advisor currently at STIRLINGSHIRE INVESTMENTS located in San Antonio, Texas and STIRLINGSHIRE INVESTMENTS located in New York City, New York.

Helen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Helen has worked at 9 firms and has passed the Series 66, SIE and Series 7 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 Dao'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: 2020

Experience

Current

November 20, 2024 - Present

STIRLINGSHIRE INVESTMENTS

RIA
CRD#: 327779
San Antonio, TX
Current

November 20, 2024 - Present

STIRLINGSHIRE INVESTMENTS

Office #1: 15 W 38th St Suite 704, New York City, NY 10018
BD
CRD#: 310576
New York City, NY
Past

January 14, 2013 - December 17, 2024

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
San Antonio, TX
Past

January 14, 2013 - December 17, 2024

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
San Antonio, TX
Past

June 22, 2012 - December 31, 2012

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
BOERNE, TX
Past

June 22, 2012 - December 31, 2012

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
BOERNE, TX
Past

January 17, 2012 - June 28, 2012

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
SAN ANTONIO, TX
Past

May 10, 2011 - June 28, 2012

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
SAN ANTONIO, TX
Past

April 17, 2009 - May 5, 2011

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
HOUSTON, TX
Past

April 17, 2009 - May 5, 2011

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
HOUSTON, TX
Past

October 1, 2007 - February 26, 2009

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

October 1, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

October 1, 2007 - February 26, 2009

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

September 6, 2006 - August 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
HOUSTON, TX
Past

June 26, 2006 - August 9, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HOUSTON, TX

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".
SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 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
New York
(11/20/2024)
RR
Texas
(11/20/2024)
IAR
Texas
(11/20/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2006
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: 6/23/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
15 W 38th St. #704, New York, NY 10018
Mailing Address
Phone number
(877) 600-7026
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (53 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

STIRLINGSHIRE ADV PART 2 (1/27/2026)

Regulatory assets under management

Total Number of Accounts1,135
AUM (Assets Under Management)$ 179,802,588

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

STIRLINGSHIRE INVESTMENTS

CRD#: 327779San Antonio, TX

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