Robert G. Bettiga
Professional summary
Robert George Bettiga was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Robert had worked at 5 firms, which includes SIGMA FINANCIAL CORPORATION, BLUEBONNET SECURITIES INC., MONY SECURITIES CORPORATION, PETROSPEC SECURITIES INC., OSAIC FS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1995 - September 19, 1997
SIGMA FINANCIAL CORPORATION
June 29, 1989 - December 15, 1995
BLUEBONNET SECURITIES, INC.
August 9, 1984 - August 12, 1988
MONY SECURITIES CORPORATION
November 30, 1983 - August 7, 1984
PETROSPEC SECURITIES, INC.
October 27, 1983 - December 5, 1983
OSAIC FS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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