Louis B. Helsen
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.
Louis Bernard Helsen IV, who also goes by Louis Bernard Helsen, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 2022. Louis had worked at 1 firm and has passed the Series 63, Series 79TO, Series 52TO, Series 7TO, SIE, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2022 - October 20, 2025
WILSON-DAVIS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 7/3/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 7/3/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 5/17/2022
General Securities Representative ExaminationCurrent Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
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.
