John S. Helmstadter
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.
John Stephen Helmstadter, who also goes by J. Stephen Helmstadter, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 6 firms and has passed the Series 63, Series 7 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 30, 2012 - July 12, 2013
WEALTH ADVISORS OF TAMPA BAY
April 9, 2012 - July 12, 2013
LPL FINANCIAL LLC
November 20, 2003 - April 18, 2012
FLORIDA INVESTMENT ADVISORS
February 11, 2002 - November 20, 2003
FLORIDA INVESTMENT ADVISERS
March 17, 2000 - April 18, 2012
FLORIDA INVESTMENT ADVISORS
November 18, 1999 - March 28, 2002
FISERV INVESTOR SERVICES, INC.
December 23, 1992 - January 9, 1997
BARNETT INVESTMENTS, INC.
Primary Firm SEC Registration
WEALTH ADVISORS OF TAMPA BAY
CRD#: 162724 / SEC#: 801-74575
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
Current Firm
WEALTH ADVISORS OF TAMPA BAY
CRD#: 162724 / SEC#: 801-74575
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 400,836,312 |
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.
