Beth A. Travers
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 Ann Travers was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 1986. Beth had worked at 8 firms and has passed the Series 63, SIE 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
April 17, 2012 - July 8, 2024
FIRST LIBERTIES FINANCIAL
July 29, 2011 - April 19, 2012
LJS CAPITAL, LLC
April 1, 2010 - July 1, 2011
ASHTON STEWART & CO., INC.
May 24, 2005 - March 15, 2010
SINCLAIR & COMPANY, LLC
January 7, 1997 - October 13, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1993 - July 29, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
January 19, 1990 - August 30, 1993
J.P. MORGAN SECURITIES LLC
November 18, 1986 - January 5, 1987
HAAS SECURITIES CORPORATION
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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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