Betsy B. Marcom
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.
Betsy Bratton Marcom, who also goes by Betsy Bratton Perryman, was a registered financial professional .
Betsy is a previously registered financial professional and started their career in finance in 1985. Betsy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2009 - November 18, 2015
NEXT FINANCIAL GROUP, INC.
February 2, 2009 - November 18, 2015
NEXT FINANCIAL GROUP, INC.
January 30, 2009 - February 6, 2009
NEXT FINANCIAL GROUP, INC.
June 1, 1995 - January 22, 2009
INVESTMENT PROFESSIONALS, INC.
May 31, 1995 - January 22, 2009
INVESTMENT PROFESSIONALS, INC.
January 27, 1993 - May 25, 1995
LPL FINANCIAL LLC
July 13, 1992 - February 3, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
February 8, 1985 - July 14, 1992
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
