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Betty Garrison Scott

CRD# 1131842·Registered 1986 - 2013
Previously Registered: Being a previously registered professional could mean that Betty 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.

Professional Summary

Betty Garrison Scott, who also goes by Betty Garrison Helms, Betty Hensley Helms, Betty Garrison Hensbey, Betty Garrison Hensley, was a registered financial advisor. Betty was a previously registered financial professional and started their career in finance 1986 - 2013. Betty had worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Betty Garrison Helms, Betty Hensley Helms, Betty Garrison Hensbey, Betty Garrison Hensley

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

SICOR SECURITIES INC·CRD# 16195
BD
Gastonia, NC
February 10, 2006 - August 30, 2013
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
May 5, 2003 - November 30, 2005
AMERITAS INVESTMENT COMPANY, LLC·CRD# 14869
BD
Lincoln, NE
April 1, 2002 - May 6, 2003
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
June 19, 1998 - April 5, 2002
UNITED SECURITIES ALLIANCE, INC.·CRD# 36487
BD
Greenwood Village, CO
August 24, 1995 - June 19, 1997
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
June 8, 1993 - August 29, 1995
NORTH AMERICAN MANAGEMENT, INC.·CRD# 624
BD
Sioux Falls, SD
March 3, 1993 - June 17, 1993
NORTH AMERICAN MANAGEMENT, INC.·CRD# 624
BD
Sioux Falls, SD
January 5, 1989 - December 18, 1992
PFS INVESTMENTS INC.·CRD# 10111
BD
Duluth, GA
September 15, 1986 - February 1, 1989

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Current Firm

SS
SICOR SECURITIES INC

S I SECURITIES, INC. | TOWER EQUITIES, INC. | TOWER EQUITIES INC | SICOR SECURITIES INC

CRD#: 16195 / SEC#: 801-31673, 8-33445
BD
Terminated by SEC on 12/14/2013

Contact Information

Established

Ohio since 04/01/1984

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TIS HOLDINGS INCSTOCK HOLDER—
LEHMAN, HEATH AFINANCIAL & OPERATIONS PRINCIPAL2395182
MERRICK, GREGORY LUNARPRESIDENT/DIRECTOR2933448
MERRICK, GREGORY LUNARCHIEF COMPLIANCE OFFICER2933448
MERRICK, SARA ANNSECRETARY/V-PRES/DIRECTOR2672417
THE DEMANGE ASSET MANAGEMENT COSTOCK HOLDER—

Disclosures

Regulatory Event

13

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1986About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1986About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed May 1988About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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