Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Helen? Claim Your ProfileHelen Y Peralta is a financial professional with over 16 years of experience in the financial services industry. Helen currently works as a registered representative with Charles Schwab & CO., Inc., and holds a Series 6, 7 and 66 license. Helen has held previous positions with Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Banc of America Investment Services, Inc. Helen is also a registered investment advisor in New Jersey. Helen's expertise lies in financial planning and investment advisory services.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
10/03/2022 - Present
Charles Schwab & CO., Inc. (Westlake TX)
NJ
06/05/2013 - 09/10/2022
CITIGROUP GLOBAL MARKETS INC. (CLIFTON NJ)
NJ
07/26/2010 - 06/29/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NJ
05/23/2006 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FORT LEE NJ)
MA
10/20/2004 - 01/05/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/15/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 06/16/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/12/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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