GH
Garry C. Helyer
OSAIC INSTITUTIONS
Glastonbury, CT
Some features on this profile are disabled
CRD#: 807670
GH
Professional summary
Garry Clemons Helyer is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Glastonbury, Connecticut.
Garry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Garry has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(ACTIVITY #1)LANDLORD FOR 1 SINGLE FAMILY HOMES PERSONALLY OWNED SINCE 1979, 5 HOURS MONTH,3 HRS DURING MKT HRS,RECEIVE RENT. (ACTIVITY #2) PROFESSIONAL BENEFITS. GROUP INSURANCE SALES & SERVICES. YES, INVESTMENT RELATED. OWNER SINCE 1991. APPROX 15 HOURS PER MONTH. 10 HOURS DURING TRADING HOURS. (ACTIVITY #3) GARRY HELYER,SERVICING EXISTING FIXED ANNUITY CLIENTS,OWNER SINCE 1991. (ACTIVITY #4) Ariel Condominium Association. Administration, Not Investment related. On the BOD. Started March 2020. Approx 30 hours per month, 15 hours during trading hours. No compensation. VP of the condo association
CRS (Client Relationship Summary) - RIA
Click below to view Garry Clemons Helyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Garry Clemons Helyer'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
November 20, 2013 - Present
OSAIC INSTITUTIONS, INC.
RIA
BD
CRD#: 35371
Glastonbury, CT
Current
November 20, 2013 - Present
OSAIC INSTITUTIONS, INC.
RIA
BD
CRD#: 35371
Glastonbury, CT
Past
March 26, 2004 - November 20, 2013
HARVEST CAPITAL ADVISORS, LLC
RIA
CRD#: 125920
GLASTONBURY, CT
Past
March 28, 2001 - November 20, 2013
HARVEST CAPITAL LLC
BD
CRD#: 35723
WETHERSFIELD, CT
Past
December 16, 1999 - March 28, 2001
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
July 30, 1999 - December 17, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 5, 1992 - September 9, 1999
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
April 21, 1987 - January 31, 1992
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
May 28, 1979 - March 30, 1987
VP DISTRIBUTORS LLC
BD
CRD#: 3036
Past
May 13, 1975 - October 14, 1979
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(11/20/2013)
IAR
Connecticut(11/20/2013)
RR
Florida(11/20/2013)
RR
Massachusetts(11/26/2013)
RR
North Carolina(12/12/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/8/1975
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
