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BARTON M HELFET
Barton McMahon Helfet
CRD#: 5984777
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 205 Detroit Street
5th floor
Denver, CO 80206
Registration History
201220142016201820202022202420262 FIRMS2011 - 2021 (9 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arizona 3/11/2024

IA
Nevada 5/9/2024

B
Arkansas 3/11/2024

B
New Hampshire 2/3/2025

B
California 3/11/2024

B
New Mexico 3/11/2024

IA
California 4/9/2024

IA
New Mexico 4/4/2024

B
Colorado 4/27/2023

IA
New York 4/3/2024

IA
Colorado 4/27/2023

B
New York 2/3/2025

IA
Connecticut 4/4/2024

B
North Dakota 2/3/2025

B
Florida 3/11/2024

B
Oklahoma 2/3/2025

B
Georgia 2/3/2025

B
Pennsylvania 2/3/2025

B
Idaho 3/11/2024

B
South Carolina 2/3/2025

IA
Idaho 4/3/2024

B
Tennessee 3/11/2024

B
Kansas 3/11/2024

B
Texas 3/11/2024

B
Massachusetts 3/11/2024

B
Utah 3/11/2024

B
Montana 3/11/2024

IA
Utah 4/3/2024

B
Nevada 3/11/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
205 Detroit Street 5th floor, Denver, CO 80206
Registered with this firm since 4/27/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
205 Detroit Street 5th floor, Denver, CO 80206
Registered with this firm since 4/27/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/23/2011 - 08/24/2021 MORGAN STANLEY (CRD#:149777) Walnut Creek, CA
B
11/18/2011 - 08/24/2021 MORGAN STANLEY (CRD#:149777) Walnut Creek, CA
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B
Broker
IA
Investment Adviser
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.