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BK

Betty L. Knudsen

Some features on this profile are disabled
CRD#: 1404637
BK

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 L Knudsen, who also goes by Betty Lou Caldwell, Betty Lou Jennings, Betty Lou Knudsen, was a registered financial professional .

Betty is a previously registered financial professional and started their career in finance in 1985. Betty had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Betty Lou Caldwell | Betty Lou Jennings | Betty Lou Knudsen

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

October 31, 2012 - January 24, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PRESCOTT, AZ
Past

October 31, 2012 - January 24, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PRESCOTT, AZ
Past

October 14, 2011 - June 11, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
CAMARILLO, CA
Past

October 13, 2011 - June 11, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
CAMARILLO, CA
Past

February 8, 2010 - October 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SANTA BARBARA, CA
Past

February 5, 2010 - October 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SANTA BARBARA, CA
Past

November 6, 2007 - January 29, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
OXNARD, CA
Past

November 6, 2007 - January 29, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
OXNARD, CA
Past

March 19, 2007 - May 15, 2007

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
BLOOMINGTON, IL
Past

May 17, 2005 - August 10, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
OXNARD, CA
Past

May 17, 2005 - August 10, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
OXNARD, CA
Past

October 29, 2003 - May 18, 2005

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
OXNARD, CA
Past

October 29, 2003 - May 18, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 20, 2001 - January 14, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
OXNARD, CA
Past

April 16, 2001 - January 14, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 21, 1996 - October 4, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 29, 1994 - March 22, 1995

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

November 23, 1992 - July 1, 1994

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 15, 1989 - November 9, 1992

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

February 17, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 2682
Past

February 17, 1987 - September 1, 1989

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

December 17, 1985 - February 18, 1987

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
Past

December 17, 1985 - April 4, 1988

LINCOLN NATIONAL PENSION INSURANCE COMPANY

BD
CRD#: 10293
Past

December 17, 1985 - April 4, 1988

OSAIC FA, INC.

BD
CRD#: 3978

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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
IAR
Series 65
Date: 5/28/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/6/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/7/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 11/15/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/5/2009
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/22/2008
General Securities Sales Supervisor - Options Module Examination

Current Firm

WF
WELLS FARGO CLEARING SERVICES, LLC
EVEREN SECURITIES, INC. | WELLS FARGO CLEARING SERVICES, LLC | WELLS FARGO ADVISORS, LLC | WELLS FARGO ADVISORS | WACHOVIA SECURITIES, LLC | WACHOVIA SECURITIES, INC. | KEMPER SECURITIES GROUP, INC. | KEMPER CAPITAL MARKETS, INC. | FIRST UNION SECURITIES, INC. | FIRST CLEARING

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA
Registered Investment Advisory firm - SEC (10/5/1990 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
19,017

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)
WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)
WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)
WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)
FEE-BASED PLANNING SERVICES (9/2/2025)
WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

NamePositionCRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLCSOLE MEMBER
CRONK, DARRELLHEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL2498892
GINDI, SOLPRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL4903526
KARANIK, ERIK ANTHONYBOARD OF MANAGERS2260890
LACEY, PAULPRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL5616656
PATEL, RAKESHCHIEF FINANCIAL OFFICER / BOARD OF MANAGERS5385585
SAUNDERS, DAVID WARDDESIGNATED STATE PRINCIPAL2448617
SOMESHWAR, PRASANNAHEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL7491790
SOMMERS, BARRYCHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS2301454
TSAMADIAS, CHRISTOS GCHIEF COMPLIANCE OFFICER5433568

Regulatory assets under management

Total Number of Accounts1,327,695
AUM (Assets Under Management)$ 606,037,831,365

Disclosures

Regulatory Event182
Civil Event2
Arbitration303

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
12/11/2023
Cover Page
Report
02/17/2023
Cover Page
Report

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

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

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