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Betty G. Scott

Some features on this profile are disabled
CRD#: 1131842
BS

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 Garrison Scott, who also goes by Betty Garrison Helms, Betty Hensley Helms, Betty Garrison Hensbey, Betty Garrison Hensley, was a registered financial professional .

Betty is a previously registered financial professional and started their career in finance in 1986. Betty had worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Betty Garrison Helms | Betty Hensley Helms | Betty Garrison Hensbey | Betty Garrison Hensley

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 10, 2006 - August 30, 2013

SICOR SECURITIES INC

BD
CRD#: 16195
GASTONIA, NC
Past

May 5, 2003 - November 30, 2005

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

April 1, 2002 - May 6, 2003

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

June 19, 1998 - April 5, 2002

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

August 24, 1995 - June 19, 1997

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

June 8, 1993 - August 29, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

March 3, 1993 - June 17, 1993

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

January 5, 1989 - December 18, 1992

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

September 15, 1986 - February 1, 1989

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/12/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/17/1988
Investment Company Products/Variable Contracts Principal Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 04/01/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

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 Event13
Arbitration1

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.

Company Information

SICOR SECURITIES INC

CRD#: 16195

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