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Detailed Report
THOMAS F HELMIG JR.
THOMAS HELMIG, THOMAS FRANCIS HELMIG JR
CRD#: 5208967
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 724 W LANCASTER AVE
WAYNE, PA 19087
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - Present (17 years)
License(s)

State Registrations

B
Arizona 11/18/2021
B
New Mexico 4/6/2022
B
California 3/12/2008
B
New York 3/12/2008
B
Colorado 3/12/2008
B
North Carolina 3/12/2008
B
Connecticut 3/12/2008
B
Ohio 1/2/2022
B
Delaware 3/12/2008
B
Oregon 3/12/2008
B
Florida 3/12/2008
B
Pennsylvania 3/11/2008
B
Georgia 3/12/2008
IA
Pennsylvania 3/8/2018
B
Illinois 3/12/2008
B
Rhode Island 3/12/2008
B
Indiana 3/12/2008
B
South Carolina 3/12/2008
B
Maine 12/5/2022
B
Texas 3/12/2008
B
Maryland 3/12/2008
IA
Texas 3/20/2008
B
Massachusetts 10/26/2022
B
Utah 1/27/2020
B
Minnesota 11/9/2023
B
Vermont 5/18/2022
B
Montana 3/12/2008
B
Virginia 3/12/2008
B
New Jersey 3/12/2008
B
Wisconsin 3/12/2008
IA
New Jersey 3/20/2008
B
Wyoming 9/15/2022

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 3/20/2008
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
724 W LANCASTER AVE, WAYNE, PA 19087
Registered with this firm since 2/8/2008
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.