Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Helen? Claim Your ProfileHelen Kathleen Shaw has been an active investment advisor in the financial industry since 1994. She has held a variety of positions at different firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, LPL Financial LLC, and Fulcrum Securities, LLC. Helen is currently registered with Janney Montgomery Scott LLC as a Registered Representative and Investment Advisor Representative. Helen holds Series 7, 63, 65, SIE and 79TO licenses. Helen provides a variety of financial services, including financial planning, portfolio management for individuals and businesses, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
NJ
09/06/2022 - Present
Janney Montgomery Scott LLC (HACKENSACK NJ)
NJ
12/19/2016 - 09/01/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PARAMUS NJ)
NJ
10/06/2015 - 08/11/2016
LPL FINANCIAL LLC (FRANKLIN LAKES NJ)
NY
10/05/2009 - 08/06/2015
FULCRUM SECURITIES, LLC (WHITE PLAINS NY)
NY
01/22/2001 - 03/19/2009
DU PASQUIER & CO., INC. (NEW YORK NY)
NY
07/18/1994 - 04/09/2001
INVESTORS COMPANY (NEW YORK NY)
IA
Issued 08/02/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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