SN
Sebastian J. Niedermayer
BAADER HELVEA
New York, NY 10170
Some features on this profile are disabled
CRD#: 5225454
SN
Professional summary
Sebastian Josef Niedermayer, who also goes by Sebastian J Niedermayer, is a registered financial professional currently at BAADER HELVEA INC. located in New York, New York.
Sebastian is registered as a RR (Registered Representative) and started their career in finance in 2008. Sebastian has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sebastian J Niedermayer
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.
CRS (Client Relationship Summary) - BD
Click below to view Sebastian Josef Niedermayer'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
October 10, 2013 - Present
BAADER HELVEA INC.
Office #1: 420 Lexington Avenue Suite 804, New York, NY 10170Office #2: 420 Lexington Avenue Suite 804, New York, NY 10170Office #3: Weihenstephaner Strasse 4, Unterschleissheim 85716BD
CRD#: 132007
New York, NY
Past
February 26, 2008 - April 30, 2009
UNICREDIT CAPITAL MARKETS LLC
BD
CRD#: 7789
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alaska(10/10/2013)
RR
Arizona(10/10/2013)
RR
California(10/10/2013)
RR
Colorado(10/10/2013)
RR
Connecticut(10/10/2013)
RR
Delaware(10/10/2013)
RR
District of Columbia(10/10/2013)
RR
Florida(10/10/2013)
RR
Georgia(10/10/2013)
RR
Illinois(10/10/2013)
RR
Indiana(10/10/2013)
RR
Iowa(10/10/2013)
RR
Kansas(10/10/2013)
RR
Kentucky(10/10/2013)
RR
Maryland(10/10/2013)
RR
Massachusetts(10/10/2013)
RR
Michigan(10/10/2013)
RR
Minnesota(10/10/2013)
RR
Nevada(10/10/2013)
RR
New Hampshire(10/10/2013)
RR
New Jersey(10/10/2013)
RR
New Mexico(10/10/2013)
RR
New York(10/10/2013)
RR
North Carolina(10/10/2013)
RR
Ohio(10/10/2013)
RR
Oregon(10/10/2013)
RR
Pennsylvania(10/10/2013)
RR
Rhode Island(10/10/2013)
RR
South Carolina(10/10/2013)
RR
Texas(10/10/2013)
RR
Utah(10/10/2013)
RR
Vermont(10/10/2013)
RR
Virginia(10/10/2013)
RR
Washington(10/10/2013)
RR
West Virginia(10/10/2013)
RR
Wisconsin(10/10/2013)
RR
Wyoming(10/10/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BAADER HELVEA INC.
BAADER HELVEA INC. | HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
420 Lexington Avenue Suite 804, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 804, New York, NY 10170
Phone number
(212) 935-5150
Established
Delaware since 01/07/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
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.
