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Keith L Helwig

Scotia Capital (usa) Inc.

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About Keith L Helwig

Keith Helwig is a financial advisor who has been in the industry since November 29, 2005. Keith currently works at Scotia Capital (usa) Inc., a firm based in New York, New York. Previously, Keith has worked at RBC Capital Markets, LLC and Barclays Capital Inc. Keith is a Series 7, Series 24, Series 52TO, Series 63, and Series 79TO licensed advisor. Keith is registered in all 50 states and Puerto Rico.

Firm Information

Keith Helwig is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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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Keith Helwig’s Registration & Firm History

NY

04/16/2024 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

01/28/2011 - 05/02/2024

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

10/25/2005 - 12/23/2010

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/07/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative 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 10/24/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Keith L Helwig.
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