Sophie Helenek

Current Employers

Westminster Financial Advisory Corp

50 Chestnut Street Suite A-400, Beavercreek, OH 45440 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2026-06-22
WA	RA	APPROVED	2026-02-27
MT	RA	APPROVED	2022-11-15
NJ	RA	APPROVED	2022-11-15
LA	RA	APPROVED	2022-03-11
RI	RA	APPROVED	2022-03-02
NY	RA	APPROVED	2021-12-03
CT	RA	APPROVED	2020-08-21

MA RA
APPROVED

Since 2026-06-22
WA RA
APPROVED

Since 2026-02-27
MT RA
APPROVED

Since 2022-11-15
NJ RA
APPROVED

Since 2022-11-15
LA RA
APPROVED

Since 2022-03-11
RI RA
APPROVED

Since 2022-03-02
NY RA
APPROVED

Since 2021-12-03
CT RA
APPROVED

Since 2020-08-21

Branch Locations

Madison, CT • United States

50 Chestnut Street Suite A-400, Beavercreek, OH 45440 • 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
Morgan Stanley Smith Barney Llc	Essex	CT	12/2015	08/2020
Morgan Stanley Private Bank, N.A.	New York	NY	03/2016	08/2020
Westminster Financial Securities, Inc.	Madison	CT	08/2020	Present

12/2015 → 08/2020

Morgan Stanley Smith Barney Llc

Essex, CT
03/2016 → 08/2020

Morgan Stanley Private Bank, N.A.

New York, NY
08/2020 → Present

Westminster Financial Securities, Inc.

Madison, CT

Previous Registrations

2016-04-04 → 2020-08-24

Morgan Stanley

Essex, CT

New London, CT

Madison, CT

Other Businesses

Business Name: NA Investment Related (Y or N): N Business Address (City, State): 30 JANNAS LANE MADISON, CT 06443 Nature of the business: Children's Book Author & public speaker Relationship/position: Sole Proprietor / Owner / Partner / Presenter Start Date: 2013 Time spent during trading hours: 0 Time spent outside of trading hours: .1 Description: Author of the My First Book series that emphasizes the importance and relevance of early childhood literacy. Occasionally, participate in public speaking engagements. SELF EMPLOYED; Investment related No; Selling my artwork; Artist / Seller; Sep 2019; During business hours: 0+; After business hours: 0.1; Divorce Sherpa; not investment related; 2614 Boston Post Road, Guilford, CT 06437; coach individuals going through divorce;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-04-04

S66 Uniform Combined State Law Examination

2016-04-04

Other Names

Sophie Helenek
Sophie Denis

View on SEC IAPD