SH
Sophie Helenek
WESTMINSTER FINANCIAL ADVISORY CORP
MADISON, CT
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CRD#: 5126715
SH
Professional summary
Sophie Helenek, who also goes by Sophie Denis, Sophie Helenek, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Madison, Connecticut and WESTMINSTER FINANCIAL SECURITIES, INC. located in Madison, Connecticut.
Sophie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Sophie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sophie Denis | Sophie Helenek
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.
Business Name: NA Investment Related (Y or N): N Business Address (City, State): 30 JANNAS LANE MADISON, CT 06443 Nature of the business: Children's Book Author & public speaker Relationship/position: Sole Proprietor / Owner / Partner / Presenter Start Date: 2013 Time spent during trading hours: 0 Time spent outside of trading hours: .1 Description: Author of the My First Book series that emphasizes the importance and relevance of early childhood literacy. Occasionally, participate in public speaking engagements. SELF EMPLOYED; Investment related No; Selling my artwork; Artist / Seller; Sep 2019; During business hours: 0+; After business hours: 0.1; Divorce Sherpa; not investment related; 2614 Boston Post Road, Guilford, CT 06437; coach individuals going through divorce;
CRS (Client Relationship Summary) - RIA
Click below to view Sophie Helenek'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
August 21, 2020 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
RIA
CRD#: 110283
MADISON, CT
Current
August 21, 2020 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 30 Jannas Lane, Suite #201, Madison, CT 06443BD
CRD#: 20677
Madison, CT
Past
April 4, 2016 - August 24, 2020
MORGAN STANLEY
RIA
CRD#: 149777
MADISON, CT
Past
January 28, 2016 - August 24, 2020
MORGAN STANLEY
BD
CRD#: 149777
MADISON, CT
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".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 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
Connecticut(8/21/2020)
IAR
Connecticut(8/21/2020)
RR
Louisiana(3/8/2022)
IAR
Louisiana(3/11/2022)
RR
Montana(11/15/2022)
IAR
Montana(11/15/2022)
RR
New Jersey(11/15/2022)
IAR
New Jersey(11/15/2022)
RR
New Mexico(4/8/2024)
IAR
New Mexico(4/8/2024)
RR
New York(8/21/2020)
IAR
New York(12/3/2021)
RR
Rhode Island(2/23/2022)
IAR
Rhode Island(3/2/2022)
RR
Vermont(4/1/2024)
IAR
Vermont(4/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
