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Helen Margaret Neal-mccaffrey

Cetera Financial Specialists LLC

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About Helen Margaret Neal-mccaffrey

Helen Neal-mccaffrey is a financial professional with over 30 years of experience in the financial services industry. Helen is currently registered with Cetera Financial Specialists LLC and has been in this role since January 6, 2012. Prior to that, Helen held positions at 1ST GLOBAL CAPITAL CORP., FFP SECURITIES, INC., ROYAL ALLIANCE ASSOCIATES, INC., TRIPLE CHECK FINANCIAL SERVICES, INC., and SHEARSON LEHMAN HUTTON INC. Helen holds the Series 3, 7 and 63 licenses as well as the SIE exam. Helen has a proven track record of success in helping clients achieve their financial goals and is committed to providing personalized service and guidance.

Firm Information

Helen Neal-mccaffrey is currently registered with Cetera Financial Specialists LLC. Cetera Financial Specialists LLC is a Limited Liability Company formed on October 31, 2012, and is registered in all 50 states plus the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Helen Neal-mccaffrey’s Registration & Firm History

CA

01/06/2012 - Present

Cetera Financial Specialists LLC (ORANGE CA)

CA

11/22/2006 - 12/07/2011

1ST GLOBAL CAPITAL CORP. (ORANGE CA)

CA

02/09/1998 - 12/05/2006

FFP SECURITIES, INC. (ORANGE CA)

AZ

05/09/1994 - 02/02/1998

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

CA

12/04/1991 - 05/09/1994

TRIPLE CHECK FINANCIAL SERVICES, INC. (BURBANK CA)

NY

01/19/1988 - 01/15/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/27/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/1988

Series 3 - National Commodity Futures Examination

BC

Issued 01/16/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Helen Margaret Neal-mccaffrey.
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