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AH

Abbey L. Helmetag

ARIEL DISTRIBUTORS
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 5795697
AH

Professional summary

Abbey Lynn Helmetag, who also goes by Abbey L Helmetag, Abbey Lynn Moore, is a registered financial professional currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.

Abbey is registered as a RR (Registered Representative) and started their career in finance in 2012. Abbey has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Abbey L Helmetag | Abbey Lynn Moore

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) - BD

Click below to view Abbey Lynn Helmetag'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

July 2, 2024 - Present

ARIEL DISTRIBUTORS, LLC

Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601Office #2: 200 East Randolph Street Suite 2900, Chicago, IL 60601
BD
CRD#: 38333
Chicago, IL
Past

January 18, 2019 - August 27, 2020

CROTON LIQUID MARKETS LLC

BD
CRD#: 283873
NEW YORK, NY
Past

January 18, 2019 - June 7, 2024

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
CHICAGO, IL
Past

July 3, 2012 - June 7, 2024

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL

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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/2/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/5/2014
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC

CRD#: 38333 / SEC#: , 8-48238

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARIEL INVESTMENTS HOLDING COMPANY, LLCSOLE UNITHOLDER
CALDERON, CARLOS ESTUARDOSENIOR VICE PRESIDENT, FINANCE6864114
CAMPBELL, ROBERT NMNFINOP, PFO, POO1349154
FOX, WENDY DEVORAHSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4870574
ORLOWSKI, BONNIE ELIZABETHPRESIDENT, CHAIRMAN, MANAGER3121598
RODRIGUEZ-AYALA, EMMA LEONOREXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER6183654
WEBER, ROOPA PATELSENIOR VICE PRESIDENT, DIRECTOR OF MARKETING AND SPECIAL PROJECTS3026056

Disclosures

Regulatory Event1

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

ARIEL DISTRIBUTORS, LLC

CRD#: 38333Chicago, IL 60601

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