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STANLEY J HELM
STAN HELM, STANLEY JAMES HELM
CRD#: 2263370
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 500 SUN VALLEY DRIVE
B-1
ROSWELL, GA 30076
B-1
ROSWELL, GA 30076
View By:
10/8/2008
Customer Dispute
Withdrawn
State Registrations
B
Alabama 12/2/1999
IA
Maryland 9/1/2023
IA
Alabama 7/11/2016
B
Nevada 4/3/2008
B
Arizona 1/10/2000
B
New Jersey 11/27/2007
IA
Arizona 1/7/2021
IA
New Jersey 6/21/2011
B
California 5/3/1999
B
North Carolina 5/19/2006
IA
California 6/21/2011
IA
North Carolina 3/6/2014
B
Colorado 8/4/2008
B
Ohio 5/3/1999
IA
Colorado 7/8/2021
IA
Ohio 2/3/2022
B
Connecticut 7/9/2020
B
Oklahoma 8/8/2005
B
Florida 4/16/2001
B
Oregon 7/7/2009
IA
Florida 1/28/2013
IA
Oregon 7/1/2011
B
Georgia 5/3/1999
B
Pennsylvania 10/18/2000
IA
Georgia 6/9/2011
IA
Pennsylvania 12/5/2016
B
Illinois 1/21/2010
B
South Carolina 7/10/2019
B
Indiana 5/17/2012
IA
South Carolina 7/15/2019
IA
Indiana 4/23/2015
B
Tennessee 5/3/1999
B
Iowa 9/23/2008
B
Texas 9/4/2014
IA
Iowa 6/10/2022
IA
Texas 9/15/2014
B
Kentucky 8/31/2005
B
Utah 9/10/2024
IA
Kentucky 10/6/2020
IA
Utah 9/10/2024
B
Louisiana 1/15/2015
B
Virginia 5/3/1999
B
Maine 10/25/2023
IA
Virginia 11/1/2012
IA
Maine 10/25/2023
B
Washington 5/3/1999
B
Maryland 9/1/2023
IA
Washington 9/6/2012
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 6/9/2011
B
Registered with this firm since 5/3/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2003 - 12/18/2007 | ROSWELL, GA | |
B | 11/12/1994 - 05/03/1999 | NEW YORK, NY | |
B | 04/14/1993 - 10/12/1994 | EL SEGUNDO, CA | |
B | 11/24/1992 - 03/25/1993 | MILWAUKEE, WI |
ROSWELL, GA
05/13/2003 - 12/18/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.