Helen L Abe

Current Employers

Employment History

• 10/2009 → 03/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
• 06/2010 → 03/2020
  Bank Of America, N.A.
  Mill Valley, CA
• 03/2020 → Present
  Rbc Capital Markets, Llc
  Marin, CA
• 03/2020 → Present
  City National Bank
  Marin, CA

Previous Registrations

• 2009-10-27 → 2020-03-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
• 2009-06-01 → 2009-10-26
  Morgan Stanley
  San Rafael, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  San Rafael, CA
• 1997-07-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  San Rafael, CA
  San Rafael, CA

Other Businesses

(1) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION; NAME OF OUTSIDE BUSINESS ORGANIZATION: WOMEN'S BUREAU FINANCIAL EDUCATION PROGRAM; INVESTMENT RELATED: No; ADDRESS OF BUSINESS:90 7TH STREET SUITE 2-650,SAN FRANCISCO,CALIFORNIA 94103; POSITION, TITLE, ASSOCIATION: OTHER, I AM AUTHORIZED TO TEACH "WI$E UP" FINANCIAL EDUCA; START DATE OF RELATIONSHIP: 40756; NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0; DUTIES: INSTRUCTOR OF "WISE UP" A FINANCIAL PLANNING HANDBOOK FOR GENERATION X WOMEN. (2) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HOSPICE BY THE BAY; INVESTMENT RELATED: N0; ADDRESS OF BUSINESS:17 E. SIR FRANCIS DRAKE BLVD, LARKSPUR, CALIFORNIA 94939; NATURE OF BUSINESS: CHARITABLE ORGANIZATION; POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER; START DATE OF RELATIONSHIP: 10/1/2011; NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0; DUTIES: BORAD MEMBER AND FINANCE COMMITTEE; (3) For profit or not for profit: For-Profit Organization; Name of outside business organization: Kalania Place LLC; Investment related: No; Address of business:Sausalito, California 94966; Nature of business: Real Estate Property Management; Position, title, association: Family Held; Start date of relationship: 1/1/2001; Number of hours devoted: 8 hour(s) Monthly; Number of hours devoted during trading hours: 0; Duties: Apartment rentals; (4) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION; NAME OF OUTSIDE BUSINESS ORGANIZATION: COLLEGE OF MARIN; INVESTMENT RELATED: N; ADDRESS OF BUSINESS:KENTFIELD, CALIFORNIA 94904; NATURE OF BUSINESS: OTHER, NONPROFIT COLLEGE; POSITION, TITLE, ASSOCIATION: OTHER, INSTRUCTOR; START DATE OF RELATIONSHIP: 1/2/2013; NUMBER OF HOURS DEVOTED: 32 HOUR(S) MONTHLY; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0; DUTIES: TEACH CLASS ON TOPIC OF FINANCIAL EDUCATION; (5) Name: Hospice by the Bay Address: 17 E Sir Francis Drake Blvd Larkspur Ca 94939 Business Description: Provides end of life care to patients Business is not investment related Projected Start Date: 01/01/08 Capacity: Board of Directors * Duties Performed: Board meetings quarterly to ensure organization is on track and growing market share in 3 counties in the bay area. Serve as a member of finance committee, provide quarterly review of performance of outside money manager. Hours Devoted to this OBA Per Month: 1 Hours Devoted to this OBA during business hours: 0 (6) Name: College of Marin Address: 835 College Ave Kentfield CA 94904 Business Description: Education, college, community education Business is not investment related Projected Start Date: 01/01/05 Capacity: Independent Contractor/Consultant Duties Performed: Instructor in community education, teaching women financial education Hours Devoted to this OBA Per Month: 2 Hours Devoted to this OBA during business hours: 0 (7) NAME OF ENTITY: Rotary Club ADDRESS: 930 Tamalpais Ave San Rafael CA 94901 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Service Organization CAPACITY: Board of Directors * START DATE: 10/1/2021 DUTIES: attend board meetings to discuss projects for the community HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-09-12
• S63 Uniform Securities Agent State Law Examination
  1992-05-15

Other Names

• Helen Louie
• Helen L Abe
• Helen Louie Abe