DH
DH
David Helfrich
32 Years of Experience
Parsippany, NJ
5 DisclosuresBrokerSells Insurance
David Helfrich is a registered investment advisor, based in Parsippany, NJ, with 32 years of industry experience.
Location
14 Walsh Dr, Ste 100, Parsippany, NJ, 07054
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
December 2024Pending
Judgment / Lien
October 2023Judgment / Lien
December 2020Judgment / Lien
November 2020Customer Dispute
December 2015Settled
Other Business ActivitiesSells Insurance
David is a salesperson for Allied Wealth Partners selling fixed insurance, an agent/broker for DCH Financial Services LLC, and an employee at Helf's Hitting Academy as a sports coach/referee. He spends a few hours per week on fixed insurance sales and minimal time as an agent/broker.
Employment History
Current Registrations
Cetera Wealth Services, LLC
August 2023 - Present · 2 yrs 11 mos
Cetera Investment Advisers LLC
August 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
August 2023 - Present · 2 yrs 11 mos
Previous Registrations
Securian Financial Services, INC.
June 2004 - August 2023 · 19 yrs 2 mos
Securian Financial Services, INC.Broker
June 2004 - August 2023 · 19 yrs 2 mos
Ws Griffith Securities, INC.
June 2002 - June 2004 · 2 yrs
Ws Griffith Securities, INC.Broker
May 1993 - June 2004 · 11 yrs 1 mo
State Registrations16 states
CACOCTDEFLLAMANCNJNYOHOKPASCTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.