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RB

Rola Barghouti

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CRD#: 5299015
RB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rola Barghouti was a registered financial professional .

Rola is a previously registered financial professional and started their career in finance in 2007. Rola had worked at 1 firm and has passed the Series 11 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2010 - July 26, 2016

BAADER HELVEA INC.

BD
CRD#: 132007
NEW YORK, NY
Past

October 10, 2007 - November 9, 2009

BAADER HELVEA INC.

BD
CRD#: 132007
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 11
Date: 7/25/2007
Assistant Representative-Order Processing Qualification Exam

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)
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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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BAADER HELVEA AGDIRECT OWNER
AMMER, JOCHEN GUENTHER VOLKERDIRECTOR2151302
AMMER, JOCHEN GUENTHER VOLKERPRESIDENT/CCO2151302
BENDER, STEVEN CHRISTOPHERPFO, POO2650187
BENDER, STEVEN CHRISTOPHERFINOP2650187
DEANE, MORGAN ESQSECRETARY6116799
DEANE, MORGAN ESQDIRECTOR6116799
HAUSER, TIMON GERHARDDIRECTOR7901577
NIEDERMAYER, SEBASTIAN JOSEFDIRECTOR5225454
RIEDEL, OLIVERDIRECTOR4680070

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

BAADER HELVEA INC.

CRD#: 132007

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