Susan Jennifer Helm

LPl Financial LLC

Schwenksville, PA

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2014-02-03

PA RA
APPROVED

Since 2014-02-03

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Schwenksville, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Schwenksville	PA	01/2014	Present

01/2014 → Present

Lpl Financial

Schwenksville, PA

Previous Registrations

2010-02-24 → 2014-01-31

Morgan Stanley

Bryn Mawr, PA

Berwyn, PA
2009-06-01 → 2009-12-19

Morgan Stanley

Short Hills, NJ
2006-06-27 → 2009-06-01

Citigroup Global Markets Inc.

Philadelphia, PA
2004-06-01 → 2006-01-17

Wells Fargo Clearing Services, Llc

Philadelphia, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-05-27
S63	Uniform Securities Agent State Law Examination	1996-07-08

S65 Uniform Investment Adviser Law Examination

2004-05-27
S63 Uniform Securities Agent State Law Examination

1996-07-08

Other Names

Susan Jennifer Schwartz
Susan Jennifer Helm
Susan Jennifer Schwartz

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.

BELLEAIR WEALTH MANAGEMENT, LLC

WEALTHCARE ADVISORY PARTNERS LLC

INSIGHT SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SCHWAB WEALTH ADVISORY, INC.

PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL

Tamrah Jennifer Bordini

MATTHEW N WALLEN

RAMIRO IGNACIO PARES

NILDA MELGAREJO DE BOYRIE

STEVEN Samuel SHANEYFELT

Katie Wineski Riegel

Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC

BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC

WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC

INSIGHT SECURITIES, INC. · Fort Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC

EDWARD JONES · FORT MILL, SC

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