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Charles E. Helme

CRD#: 712007
CH
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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.

Charles Edward Ely Helme, who also goes by Charles Edward Helme, Charles Edward Fly Helme, Ted Helme, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 72, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Edward Helme | Charles Edward Fly Helme | Ted Helme

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

September 10, 2013 - December 22, 2014

MERIT SECURITIES, LLC

BD
CRD#: 165470
GIG HARBOR, WA
Past

March 15, 2011 - December 31, 2025

BH ASSET MANAGEMENT, LLC

RIA
CRD#: 152117
NEW YORK, NY
Past

August 12, 2010 - December 31, 2019

BH ASSET MANAGEMENT, LLC

RIA
CRD#: 152117
NEW YORK, NY
Past

March 19, 2004 - July 21, 2010

PINNACLE ASSOCIATES, LTD.

RIA
CRD#: 110631
NEW YORK, NY
Past

November 6, 2002 - March 12, 2010

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
NEW YORK, NY
Past

January 2, 1998 - November 7, 2002

CARRET AND COMPANY, LLC.

RIA
CRD#: 113626
NEW YORK, NY
Past

July 15, 1997 - November 7, 2002

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

August 5, 1987 - February 11, 1988

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
Past

October 24, 1986 - August 29, 1987

CLG INVESTMENT COMPANY, INC.

BD
CRD#: 10141
Past

November 22, 1983 - October 22, 1986

BROOKEHILL CAPITAL PARTNERS LIMITED

BD
CRD#: 7966
Past

December 1, 1982 - February 8, 1983

STAMFORD CAPITAL, STERLING GRACE & CO., INC.

BD
CRD#: 8282
Past

July 22, 1980 - May 26, 1982

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266

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

State Security Law Exam
IAR
Series 65
Date: 7/20/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 10/18/1999
Government Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/21/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/25/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/1998
General Securities Principal Examination

Current Firm

MS
MERIT SECURITIES, LLC
CARROLLTON CAPITAL PARTNERS, LLC | OFFERBOARD SECURITIES | MERIT SECURITIES, LLC | MERIT HARBOR CAPITAL, LLC | MERIT HARBOR CAPITAL | JD MERIT SECURITIES

CRD#: 165470 / SEC#: , 8-69162

BD
Pending Withdrawal by SEC on 09/18/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 07/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OB HOLDINGS LLCPARENT COMPANY
DICKENS, JONATHAN CRAIGCEO6231087
HOPKINS, THOMAS JOHNFINOP1835087
PRICE, JOEL MATTHEWCCO4577870

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

MERIT SECURITIES, LLC

CRD#: 165470

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Contact information

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