Richard M. Bettencourt
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.
Richard Michael Bettencourt was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 1990 - January 14, 1993
INVESTORS ASSOCIATES, INC.
May 21, 1990 - October 5, 1990
L.M. DREW & ASSOCIATES
July 5, 1988 - May 11, 1990
WELLSHIRE SECURITIES, INC.
November 23, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
July 15, 1987 - December 3, 1987
NICHOLAS, LAWRENCE & CO. INC.
July 2, 1987 - July 20, 1987
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 7, 1987 - July 30, 1987
MONMOUTH INVESTMENTS, INC.
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
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
Contact information
Documents
Red Flags
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