Betty A. Rubin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Betty Ann Rubin was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1983. Betty had worked at 8 firms and has passed the Series 63, Series 7, Series 4, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1992 - January 24, 1996
LAZAR FREDERICK & COMPANY
November 15, 1991 - December 24, 1992
R.K. STEELE
November 21, 1988 - August 28, 1992
UNISON CAPITAL GROUP
November 2, 1988 - December 19, 1988
EMMETT A LARKIN COMPANY, INC.
January 6, 1988 - September 17, 1988
WEN BIRKHOFER & CO., INC.
March 3, 1987 - November 18, 1987
DRAKE & COMPANY, INC.
August 6, 1984 - February 3, 1987
ROONEY, PACE INC.
March 1, 1983 - August 7, 1984
CANTOR FITZGERALD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/1/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAZAR FREDERICK & COMPANY
CRD#: 15615 / SEC#: , 8-32423
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
