Beth A. Mayberry
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.
Beth Arlyn Mayberry, who also goes by Beth A Mayberry, Beth Arlyn Mayberry-moss, Beth A Moss, Beth A Mayberry Moss, was a registered financial advisor .
Beth is a previously registered financial advisor and started their career in finance in 1984. Beth had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2007 - April 3, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 29, 2007 - April 3, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 22, 2007 - November 28, 2007
INVESTMENT CENTERS OF AMERICA, INC.
May 2, 2007 - November 28, 2007
INVESTMENT CENTERS OF AMERICA, INC.
July 24, 2003 - September 7, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 6, 2003 - July 24, 2003
AMSOUTH INVESTMENT SERVICES, INC.
November 15, 2002 - September 7, 2006
AMSOUTH INVESTMENT SERVICES, INC.
October 23, 2001 - November 4, 2002
WILLIAM R. HOUGH & CO.
October 23, 2001 - November 4, 2002
WILLIAM R. HOUGH & CO.
January 1, 1998 - October 22, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
July 25, 1989 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 21, 1986 - July 3, 1989
KIDDER, PEABODY & CO. INCORPORATED
December 20, 1984 - January 18, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
