Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rita? Claim Your ProfileRita Helfrich has been in the financial services industry since 1998 and is currently registered with UBS Financial Services Inc. Rita is a registered representative and investment advisor representative in Texas. Rita has held previous registrations with J.C. Bradford & Co., BANC ONE SECURITIES CORPORATION and Prudential Securities Incorporated. Rita has passed the Series 63, Series 65, Series 7 and SIE exams. Rita's specializations include retirement planning, investment management, college savings, and estate planning. Rita is committed to providing her clients with personalized financial advice and helping them reach their financial goals.
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.
See schedule d - miscellaneous
1
2
TX
08/14/2000 - Present
UBS Financial Services Inc. (FORT WORTH TX)
NY
03/15/2000 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IL
04/24/1999 - 03/14/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
11/21/1996 - 03/05/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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